In a new report, the Congressional Research Service summarized two companion bills (one in the House and one in the Senate) that would prohibit financial intermediaries and issuers from mandating the use of arbitration to resolve disputes.
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FINRA reminded member firms that FINRA rules establish minimum disclosure and other requirements as to mandatory arbitration provisions in customer agreements.
The SEC issued a waiver to make a CBOE Exchange, Inc. proposal that facilitates electronic options trading on the exchange effective immediately.
SEC Division of Trading and Markets Director Brett Redfearn described the agency's response to volatility and fragmentation concerns in the U.S. equity markets.
Nasdaq, Inc. asked the SEC to suspend the unlisted trading privileges of certain thinly traded Nasdaq-listed securities for a period of no longer than 12 months.