FINRA has issued a Regulatory Notice seeking comments on Rule changes aimed at better protecting investors from firms with significant regulatory histories. Arbitration is prominently mentioned throughout.
Just when we thought the Department of Labor’s (“DOL”) Fiduciary Standard Rule was officially dead, comes word that the Department may be taking another run at a Rule.
A Final Report Card on My 2017 Arbitration Predictions: “Pretty, Pretty, Pretty, Pretty Good!”
By George H. Friedman*
SAC Contributing Legal Editor and Board of Editors Member and Chairman of the Board – Arbitration Resolution Services
[This is adapted from a post originally published in the author’s blog at Arbitration Resolution Services (ARS).