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Regulation
Texas Federal Court Holds New DOL Regulations Do Not Violate the FAA
By Beth Graham - February 15, 2017
The Northern District of Texas has ruled new Department of Labor (“DOL”) regulations that would require financial institutions to preserve an investor’s right to bring or participate in a class action do not violate the Federal Arbitration Act (“FAA”).
Texas Insurer Abandons Mandatory Mediation-Arbitration Endorsement Proposal
By Beth Graham - November 8, 2016
The Texas Farm Bureau has reportedly abandoned a proposal that would have allowed insureds to relinquish their right to sue the company in the event of a claim dispute in exchange for a lower homeowners’ policy premium.
Regulating Arbitration
By Beth Graham - August 16, 2016
Rutgers Law School Assistant Professor David L. Noll has published “Regulating Arbitration,” California Law Review, Forthcoming.
Public Meeting Held Over Texas Insurer’s Proposed Mediation-Arbitration Endorsement
By Beth Graham - July 7, 2016
Yesterday, the Texas Department of Insurance (“TDI”) held a public meeting in Austin regarding a Texas insurer’s request to add an optional endorsement to the company’s homeowners insurance policies.
Consumer Financial Protection Bureau Proposal Would Ban Mandatory Arbitration Provisions in Most Financial Contracts
By Beth Graham - May 10, 2016
The Consumer Financial Protection Bureau (“CFPB”) has proposed a plan to ban mandatory arbitration provisions in most consumer contracts entered into with banking institutions and credit card companies.
SEC Seeks Additional Public Comments Over Proposed Changes to Who May Serve as a FINRA Public Arbitrator
By Beth Graham - October 2, 2014
On October 1st, the nation’s Securities and Exchange Commission (“SEC”) reportedly extended its review of a Financial Industry Regulatory Authority (“FINRA”) proposal to revamp how arbitrators are selected in disputes between brokerages and consumers.
FINRA Considering Whether Firms Should be Required to Carry Insurance to Pay Arbitration Awards
By Beth Graham - October 4, 2013
The Financial Industry Regulatory Authority (“FINRA”) is reportedly considering whether to require brokerage firms to purchase and maintain errors and omissions insurance policies that would be used to pay investors following arbitration.
CFPB Requests Comments on the Use of Agreements Providing for Arbitration | Deadline June 23, 2012
By Victoria VanBuren - May 22, 2012
As readers may know, Section 1028(a) of the Dodd-Frank Wall Street Reform and Consumer Financial Protection Act of 2010 (the “Dodd-Frank Act”) requires the Consumer Financial Protection Bureau (“CFPB”) to “conduct a study of, and * * * provide a report to Congress concerning, the use of agreements providing for arbitration of any future dispute between covered persons and consumers in connection with the offering or providing of consu
SEC Approves Rule Change to Raise the Cap for FINRA Simplified Arbitration Claims
By Victoria VanBuren - May 17, 2012
As discussed by the ADR Prof Blog, on May 3, the SEC approved the proposed rule change to amend FINRA’s Customer and Industry Codes of Arbitration Procedure to raise the limit for simplified arbitration from $25,000 to $50,000. The proposed rule change was published for comment in the Federal Register on February 28, 2011. The rule is available here and the approval order is here.
GUEST-POST | The US Consumer Finance Protection Bureau Announces Its Review of Mandatory Pre-dispute Arbitration Agreements
By Victoria VanBuren - May 1, 2012
By Mark Kantor On April 24, the US Consumer Finance Protection Bureau (CFPB) announced that it is commencing its review of mandatory pre-dispute arbitration agreements with respect to consumer finance products and services. See the Bloomberg report of the CFPB announcement here. As readers may know, there has been heated discussion that the US Supreme Court decision in AT&T Mobility LLC v. Concepcion will enable financial institutions to comp
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