FINRA announced its 2019 regulatory and exam priorities in a Cover Letter to member firms that included a link to a newly-named seven-page Risk Monitoring and Examination Priorities Letter addressed to the securities industry.
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).