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.
First, let’s make the topic real. Just last month, the SEC posted a petition for rulemaking that suggests the Commission take steps to improve the FINRA arbitration process,
The annual half-day program on securities arbitration and mediation, sponsored by the Association of the Bar of the City of New York, took place earlier this year.