BusinessInsider.com (Reuters) (November 14, 2014, 12:38 pm) -- The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process…
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WebRadar (Reuters) (November 14, 2014 11:51 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of…
Reuters (November 14, 2014 11:51 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors…
UPDATE 1-U.S. court affirms SEC stance on withholding Wall St arbitration records, by Suzanne Barlyn
(Adds detail in 5th paragraph on judge's concurring opinion; comment from PIABA's lawyer in 7th paragraph)Reuters (November 14, 2014 11:50 am) -- The U.S. Securities and Exchange Commission does not…
dailyreportingsuite.com (Securities Regulation Daily) (November 14, 2014) -- The D.C. Circuit has held that the SEC can invoke the Freedom of Information Act to withhold documents collected from…
Reuters (November 6, 2014 3:26 pm) - (Adds comment by FINRA, paragraph 8) When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple…
Reuters (November 6, 2014 10:02 am) - When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple effect. One of the people who expects to…
gnewstech.com (November 4, 2014) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors'…
A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1InvestmentNews (October 30, 2014 4:37 pm) -- The Financial Industry Regulatory Authority Inc. has selected Richard W. Berry…
TheStreet (October 27, 2014 9:00 am) -- The bar association for lawyers who represent investors in Finra arbitration met in La Quinta, Calif., last week to discuss regulatory trends, litigation…