Post Image
FINRA Issues Reg Notice Seeking Comments on Discovery Guide Change on Insurance
on

FINRA has issued a Regulatory Notice seeking comments on proposed Discovery Guide changes requiring production of insurance information.

We reported in SAA 2018-19 (May 16) that FINRA’s Board of Governors approved at its May 9-10 meeting a proposal to amend the arbitration Discovery Guide.

...Read More

Post Image
Analysis of (the Few) Comments on FINRA ODR Reg Notice 17-33 on Unpaid Awards
on

The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice on expungement. All commenters generally support the proposed changes,

...Read More

Post Image
Analysis of Comments on FINRA ODR Reg Notice 17-34 on Non-Attorney Reps
on

The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice seeking comments on non-attorney representatives (“NAR”). With about 60 comments filed,

...Read More

Read Our Recent Blog