Very Few Comments on FINRA’s Proposed Inactive Industry Party Arbitration Rule
on

By George H. Friedman, SAA Editor-in-Chief

The comment period closed December 13 on FINRA’s proposed rule to expand a customer’s arbitration options when firms or APs become inactive,

...Read More

The Inactive Industry Party Arbitration Rule Has Been Released for Public Comment by the SEC
on

We reported in SAA 2019-42 (Nov. 6) that FINRA had filed proposed rule, SR-FINRA-2019-027, on November 5. The SEC has now released that proposal for public comment in SEC Rel.

...Read More

It Took a While, but the Inactive Industry Party Arbitration Rule has Been Filed with the SEC
on

By George H. Friedman, SAA Editor-in-Chief

FINRA on November 5 filed with the SEC a long-awaited rule amendment that would give investors greater rights when arbitrating with inactive industry parties.

...Read More

The Neutral Corner 2-2019:  FINRA-ODR Updates Arbitrators and Mediators on the Authority’s Latest Activities
on

The Neutral Corner, the FINRA Office of Dispute Resolution’s newsletter for neutrals serving its dispute resolution forum, issues now on a quarterly basis;

...Read More

***Breaking: SEC Approves Reg Best Interest and Related Proposals
on

The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.

...Read More

SEC to Vote on Reg Best Interest June 5
on

The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.

As our readers and followers know,

...Read More

Read Our Recent Blog