![]() SEC staff having trouble keeping up with rule-making pace - reportĪlthough this article came out 6 months ago, it seemed reposting it now was appropriate. Please consider putting this on your short list as chances are you know someone who benefits from the Alzheimer’s Association® efforts. ![]() ![]() Yes, there are many fantastic charity events to support. Clearly, these will not be your routine third-party intervenors. I am very interested to see how the provisions requiring notice to state regulators and an opportunity for the regulator(s) to participate in the proceedings will play out. Not surprisingly, the SEC approved FINRA’s amendments to its arbitration rules governing expungement proceedings. Below are some of my most recent posts.įINRA’s Expungement Rules Just Got Tougher And there have been a lot of them lately. There I frequently comment on events affecting the broker-dealer and registered investment adviser communities. ![]() As noted time and time again, George Carlin’s Brain Droppings is as an inspiration for my micro-blog on LinkedIn. ![]()
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