This article is one in a series of outlooks for 2022 by the InvestmentNews team. Political tension on the Securities and Exchange Commission could permeate the agency’s work in 2022, and the first tangible evidence will come early this year. ...

Legislation that would prohibit brokers and investment advisers from including mandatory arbitration agreements in customer contracts is headed to the House floor but faces a steep climb up the other side of Capitol Hill. The House Financial Services Committee Tuesday ...

Finra could allow remote participation in arbitration proceedings on a permanent basis, chief executive Robert W. Cook said Tuesday. When the coronavirus pandemic broke out in March 2020, the Financial Industry Regulatory Authority Inc. suspended in-person arbitration hearings due to ...

State securities regulators are being pulled in different directions on their proposal to help harmed investors obtain award payments when they win arbitration cases. Generally, the financial industry wants to narrow the measure, while investor advocates want to expand it. ...