As it was for the rest of the world, 2021 was an interesting year for the Financial Industry Regulatory Authority (FINRA).
Originally published in American Bar Association’s Securities Litigation section - March 17th,...more
3/21/2022
/ Arbitration ,
Beneficiary Designations ,
Coronavirus/COVID-19 ,
Dispute Resolution ,
Elder Issues ,
Expungement ,
Financial Abuse ,
Financial Industry Regulatory Authority (FINRA) ,
Investors ,
Mediation ,
Proposed Amendments ,
Remote Hearings ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Violations ,
SIFMA
Originally published in American Bar Association - March 15, 2021. The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic. On March 25,...more