The Financial Industry Regulatory Authority (FINRA) is requesting public input on ways to modernize and improve its arbitration forum. Throughout 2025, FINRA made multiple comment requests and is now ...
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Brokerage regulator FINRA is considering changing its arbitration rules. It wants public feedback.
Finra, the brokerage industry’s self-regulator, is taking another look at its arbitration process, a dispute-resolution system that has come under fire from investor advocates and industry groups ...
The Securities Industry and Financial Markets Association has outlined a series of recommendations it says would improve the fairness and efficiency of the Financial Industry Regulatory Authority’s ...
Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved brokerage clients from getting a fair hearing before their peers. Processing Content The Financial ...
This article examines the strategic use of dual-role expert witnesses—those qualified to address both liability and damages—in arbitration proceedings before the Financial Industry Regulatory ...
A public investor advocacy group is lobbying the Financial Industry Regulatory Authority to reject a proposal to reform the arbitration process between securities firms, their customers and their ...
An organization of investor advocates is criticizing a Wall Street trade group’s proposal to overhaul the arbitration process overseen by Finra, the brokerage industry’s self-regulatory organization.
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute ...
Brokers who are the subject of investor arbitration cases can clear their record of any wrongdoing too easily, according to a lawyers' group that represents plaintiffs. A study released on Wednesday ...
FINRA's Board of Governors held its first meeting this year on March 4-5. The Board approved five rule proposals, received an update on enhancements to FINRA's enforcement program and approved the ...
A group of attorneys representing investors is leveling criticism at the Financial Industry Regulatory Authority’s arbitration system, accusing the self-regulatory agency of allowing its member ...
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