Special Procedures

• Auction Rate Securities (ARS)
  Investors covered by auction rate securities final settlements with the SEC, FINRA, and the states may participate in a Special Arbitration Process (SAP) to recover consequential damages.
   
• Expedited Proceedings for Seniors & Seriously Ill Parties
  Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
   
• Expungement
  Brokers may seek to have a reference to allegations or involvement in an arbitration removed from their Central Registration Depository (CRD^®) System records. The process of removing this information from the CRD system is called "expungement."
   
• Large Case Pilot Program
  The program enables parties to customize the administrative process to better suit the special needs of a large case.
   
• Morgan Keegan
  This notice advises parties with claims against Morgan Keegan involving the RMK Bond funds.
   
• Optional All Public Panel Rules
  Investors in a FINRA arbitration have the option to choose an all public arbitration panel for all cases with three arbitrators.
   
• Short List Option to Reduce Extended List Appointments
  In an effort to increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement, rather than accept an extended list appointment.
   
• Simplified Arbitrations
  The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
   
• Disputes Between Investors and Investment Advisers Who are not FINRA-Regulated Firms
  FINRA will accept disputes between investors and investment advisors who are not FINRA-regulated firms, provided certain conditions are met.