Articles

Results 1 to 5 of 7


FINRA proposes amendments to arbitration codes in an attempt to increase efficiency and effectiveness of arbitration process

USA - June 22 2015 The Financial Industry Regulatory Authority (“FINRA”) recently filed a proposed rule change with the Securities and Exchange Commission (“SEC”) to…

SEC approves FINRA Rule regarding investigation and verification of registration applicants

USA - March 25 2015 After seeking comments last fall, the Securities and Exchange Commission ("SEC") recently approved the Financial Industry Regulatory Authority's…

The unclear future of arbitration clauses in consumer finance contracts

USA - March 17 2015 The Consumer Financial Protection Bureau (“CFPB” or “Bureau”) released a study last week regarding the financial industry’s use of pre-dispute…

FINRA issues guidance on avoiding investment scams

USA - March 11 2015 The Financial Industry Regulatory Authority ("FINRA") recently issued an Investor Alert (the "Alert") to warn investors about the most prevalent…

Proposed FINRA Rule 2231 governing customer account statements

USA - October 15 2014 Through its recent Regulatory Notice 14-35, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed new…