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 2—2014 (PDF 275 KB)

 

Mission Statement

Telephonic Mediation, by Joan Protess
DR Portal Update

 

Dispute Resolution and FINRA News

  • Case Filings and Trends 
  • Announcement of New Regional Director in Midwest Region: Carolann Gemski
  • Guidance in Cases Involving Puerto Rico Bonds
  • Out-of-State Attorneys Practicing in Oregon
  • Securities Arbitration and Mediation Hot Topics 2014
  • Practising Law Institute: Securities Arbitration 2014

 

SEC Rule Approval

  • Protecting Personal Confidential Information

 

SEC Rule Filings

  • Defining the Arbitrators’ Authority to Make Regulatory Referrals During an Arbitration Proceeding
  • Prohibited Conditions Relating to Expungement of Customer Dispute Information
  • Increase to Arbitrator Honoraria
  • Revisions to Arbitrator Definitions

 

FINRA Board Decision

  • Charles Schwab Case

 

Mediation Update

 

Questions and Answers

  • Returning Exhibits to FINRA
  • Sharing Email Accounts

 

Education and Training

  • Neutral Workshop: Review of 2013 and Looking Ahead to 2014
     

 

View previous volumes of The Neutral Corner.