FEND

(submitted by FEND Securities Expert Witness)

FINRA industry snapshot shows broker headcount growth as dual registration dominates Industry report shows that there are now fewer firms as consolidation intensifies.

Supreme Court holds that federal courts retain jurisdiction over post-award motions when claims were previously stayed under FAA Section 3 On May 14, 2026, the U.S. Supreme Court issued a unanimous decision in Jules v. Andre Balazs Props., No. 25-83, 2026 WL 1336216 (U.S. May 14, 2026). The Court held that when a federal district court stays a lawsuit and refers the dispute to arbitration pursuant to Section 3 of the Federal Arbitratio...

(submitted by FEND Securities Expert Witness)

FINRA Launches Review of Higher-Risk Structured Products FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest compliance

US SEC proposes allowing public companies to opt out of quarterly earnings reports Wall Street's top regulator on Tuesday proposed ​allowing U.S.-traded companies to switch from quarterly to twice-annual earnings reports, pursuing an idea President Donald Trump has personally pushed during both his ‌presidencies.