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NowMyNews.com (Reuters) (June 13, 2013 8:05 am) -- Within the next few weeks, the Financial Industry Regulatory Authority (FINRA) expects to send the Securities and Exchange Commission a proposal to…
Reuters (June 13, 2013 8:05 am) -- Within the next few weeks, the Financial Industry Regulatory Authority (FINRA) expects to send the Securities and Exchange Commission a proposal to make it easier…
InvestmentNews (May 19, 2013 11:01 pm) -- The Charles Schwab Corp. has dropped language from its client arbitration contracts that prevents customers from filing class actions — at least until the…
InvestmentNews (May 16, 2013 3:34 pm) -- The Charles Schwab Corp. has temporarily eliminated language in its client contracts that prevents customers from filing class-action lawsuits but whether the…
Highbeam Business (Compliance Reporter) (May 16, 2005) -- A co-founder and board member of the Public Investors Arbitration Bar Association, said he would not recommend clients in the U.K. use the…
Law360, New York (May 09, 2013 5:16 PM) -- State regulators and investor organizations Wednesday joined the Financial Industry Regulatory Authority in its appeal against a FINRA panel decision to…
ThinkAdvisor (May 9, 2013) -- State securities regulators are throwing their support behind FINRA in its battle to overturn a decision by the self-regulator’s hearing panel that allowed Charles…
Atlanta Business Chronicle (May 2, 2013) -- In recent weeks a groundswell of high- level support has been growing surrounding the issue of mandatory arbitration in the securities industry.Earlier…
The Wall Street Journal (April 12, 2013 5:27 pm) -- The Financial Industry Regulatory Authority's board on Thursday will consider changes intended to simplify the rules for investors selecting an…
Wall Street Journal Wealth Adviser (April 11, 2013 3:01 pm) -- The Financial Industry Regulatory Authority's board next week will consider proposed changes intended to simplify the rules for…