FINRA amended its Codes of Arbitration Procedure. The revisions make changes to the arbitrator list selection process and clarify requirements on prehearing conferences, hearings, claims and motions practice, case dismissals and hearing records.
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The CFTC Division of Clearing and Risk granted relief to a derivatives clearing organization to permit the holding of customer funds at the Banque de France.
FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
In its 2023 Annual Report, the SEC Office of the Investor Advocate detailed its Fiscal Year 2023 efforts on investor outreach, responding to investor inquiries, and engaging in substantive research on (i) registered index-linked annuities and (ii) mandatory arbitration clauses in investment advisory agreements.
FINRA proposed amendments to arbitration and mediation rules concerning representation before FINRA's Dispute Resolution Services forum.