Posts from February 2017.

The Department of Labor's Fiduciary Duty Rule remains on track for April 10 implementation, notwithstanding a maelstrom of hype about it.

Nearly everyone expected the new administration would delay the Rule - and many reported that done. The opposition claimed delay was Wall Street's license to steal from your grandparents' retirement savings.

But when actually signed, the Presidential Memorandum did not direct DOL to delay implementation of the Rule. Instead, it instructed DOL to study it to see if it posed unintended adverse consequences for investors by reduced access or ...

Effective April 3, 2017, all FINRA arbitration participants (except pro se parties) must use FINRA's web-based DR-Portal to file and serve documents in both customer and industry arbitrations.

Pro se parties may elect to use the Portal or opt-out, using traditional filing and service methods instead.

Exceptions to Portal service include most items involving new or non-parties, documents produced and permanent injunction claims:

  • pro se customers who do not elect to use the Party Portal;
  • documents produced in response to discovery requests or pursuant to the Discovery Guide;
Posted in: Arbitration, FINRA
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