The Neutral Corner

The Newsletter for FINRA Neutrals

We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.


Volume 3—2014 (PDF 535 KB)


Mission Statement

Announcement: Linda Fienberg to Retire

FINRA’s Disclosure Efforts


Mediator Disclosures by Asha Pandya, FINRA Dispute Resolution Extern


DR Portal Update


Dispute Resolution and FINRA News


  • Case Filings and Trends
  • FINRA Forms Dispute Resolution Task Force
  • Sixth Annual Securities Dispute Resolution Triathlon
  • Cases Involving Puerto Rico Bonds
  • Spanish Language Resources
  • Updated Award Information Sheets
  • Practicing Law Institute: Securities Arbitration 2014


SEC Rule Approval


  • Prohibited Conditions Relating to Expungement of Customer Dispute Information
  • Related: Expanded Expungement Guidance


SEC Rule Filings


  • Defining the Arbitrators’ Authority to Make Regulatory Referrals During an Arbitration Proceeding
  • Increase to Arbitrator Honoraria
  • Revisions to Arbitrator Definitions


Mediation Update


  • Mediation Statistics
  • Annual Mediator Fee Due September 1, 2014
  • Mediation Settlement Month
  • Mediation Settlement Day: October 26, 2014
  • Mediation Settlement Day: Frontline Champion Award


Questions and Answers: Expungement

Education and Training


  • Neutral Workshop: July 31, 2014—The Importance of Arbitrator Disclosure
  • Expungement Training: Updated to Include Rule 2081



View previous volumes of The Neutral Corner.