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FINRA's Cook "failed to answer key questions" about how arbitrators were chosen in a Wells Fargo case, say Warren and Porter
'Strict liability,' steep penalties should spur AML action, expert says
'Highly disturbing' report that SRO and Wells Fargo manipulated the arbitration process in case
Determination to be made as to whether rules and P&Ps for arbitrator selection were complied with in Wells Fargo case
The SRO flags over 20 different focus areas, including nearly a half dozen issues it will be eyeballing this year
New topics include the handling of trusted contact persons, the disclosure of order routing, and portfolio margining
'Train's moving,' expert warns
The proposed amendments retain the contours of rule 3240, strengthen its general prohibitions and modernize the "immediate family" exception
Birdthistle mixed it up in battles over proxy voting, fees and ESG
Regulators seek trading documents, P&Ps, internal communications