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SEC Approves New Rule Limiting Who Qualifies As a Public Arbitrator in FINRA Proceedings

On February 26, 2015, the Securities Exchange Commission (“SEC”) approved proposed Financial Industry Regulatory Authority (“FINRA”) rules that will substantially reduce the number of public arbitrators on the roster for...more

Welcome to the Party? FINRA Invites Investment Advisers to Utilize its Arbitration Procedures

Originally published in the Investment Adviser Association Newsletter on December 3, 2012. The Financial Industry Regulatory Authority (FINRA) recently issued guidance (Guidance) stating that it will now accept requests...more

12/8/2012  /  Arbitration , FINRA , Investment Adviser , SEC
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