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 1—2014 (PDF 247 KB)

 

Mission Statement

Additional Procedures to Ensure Proper Disclosure by Kristine Antoja, Case Administrator II, FINRA Case Administration
 

Dispute Resolution News

  • Case Filings and Trends
  • FINRA Annual Conference
  • California State Bar Rules for Arbitrators and Mediators

 

SEC Rule Filings

  • Defining the Arbitrators' Authority to Make Regulatory Referrals During an Arbitration Proceeding
  • Protecting Personal Confidential Information

 

Rulemaking Items Approved at the February 2014 FINRA Board of Governors Meeting

  • Prohibiting Conditioning Settlements of Customer Disputes on a Customer's Agreement Not to Oppose Expungement
  • Definitions of Public and Non-Public Arbitrators


Mediation Update


Questions and Answers

  • Issuing Subpoenas and Orders
  • Expungement Requests After Settlement

 

Education and Training

  • Updated Online Arbitrator Training: Expungement
     

 

View previous volumes of The Neutral Corner.