Post Image
End-Of-Summer Update on Pending FINRA Arbitration Rule Filings
on

In early September we reported on updates and additions to the “Arbitration and Mediation” part of the Authority’s Website, including rule filing status.

...Read More

Post Image
Rulemaking Petitions: How Do They Work and Can They Impact Arbitration?
on

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,

...Read More

Post Image
Highlights of City Bar’s Hot Topics Program (Part I)
on

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.

...Read More

Post Image
Financial Industry Groups Sue To Stop DOL Fiduciary Rule Implementation
on

Just as we went to press, we learned that several financial industry groups have sued the Department of Labor in an effort to block implementation of its new fiduciary standard rule.

...Read More

Post Image
House Financial Services Subcommittee Hearing Scrutinizes CFPB Arbitration Rulemaking
on

As we reported in SAA 2016-18, the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit held a hearing May 18th to investigate the CFPB’s arbitration rulemaking process.

...Read More

Post Image
FINRA Board Approves Rulemaking on Three Arbitration Items
on

FINRA’s Board of Governors met the first week in May and, among other things, approved three arbitration-related rule changes.

We reported in SAA 2016-17 that the Board at its May meeting would consider rulemaking on three items of interest to arbitration practitioners.

...Read More

Read Our Recent Blog