Neutral Workshop Audio Files
The Neutral Audio Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program, such as the latest proposed rule changes, procedures, recent Regulatory Notices. The workshops are pre-recorded by senior Dispute Resolution staff several times each year, and posted here for neutrals to access at anytime.
The most recent Neutral Workshop follows:
The February 6 Neutral Workshop provides an update on ongoing and emerging topics that affect neutrals. Workshop faculty, Linda Fienberg, President; Todd Saltzman, Deputy Director of Case Administration; and Margo Hassan, Assistant Chief Counsel, discuss:
- the Customer Option Rule;
- disputes involving investment advisers;
- FINRA’s efforts to reduce the appointment of “extended list” arbitrators; and
- changes to rules governing subpoenas and orders.
The following links are referenced during the workshop:
- Guidance on Disputes between Investors and Investment Advisers who are not FINRA-regulated firms
- Short List Option to Reduce Extended List Appointments
- Regulatory Notice 13-04
- Subpoenas and Orders to Appear or Produce Documents—Effective Date: February 18, 2013
September 17, 2012 — FINRA DR Portal Preview
The September 17th Neutral Workshop is a video that provides a preview of the soon-to-be released FINRA DR Portal. Workshop faculty, James Schroder, discusses:
- overview of the portal for neutrals;
- demonstration of portal functionality; and
- information about future portal releases.
View the workshop video on a PC (WMV 8.1 MB) or on a MAC (MOV 15.8 MB). (Note that it may take up to several minutes to download depending on your connection speed .)
September 12, 2012 — Current Events (MP3 45 MB)
The September 12th Neutral Workshop provides an update on ongoing and emerging topics that affect neutrals. Workshop faculty, Linda Fienberg, discusses:
- rule change to increase the threshold for simplified arbitration;
- rule change to whistleblower disputes;
- rule change to preclude collective action claims in arbitration;
- rule change to mediator selection;
- proposed rule change to address expungement requests by unnamed persons;
- reducing extended list appointments—“short list”;
- update on the customer option rule;
- large case pilot;
- arbitrator performance reminders; and
- new FINRA DR Portal.
The following links are referenced during the workshop:
- Dispute Resolution Statistics
- Regulatory Notice 12-18
- Request For Comments on Proposed New In re Expungement Procedures for Persons Not Names in a Customer-Initiated Arbitration
- Regulatory Notice 12-21
- Amendment to Align FINRA Rules with Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
- Regulatory Notice 12-28
- Amendment to Rule 13204 of Industry Code of Preclude Collective Action Claims from Being Arbitrated
- Regulatory Notice 12-30
- Raise Limit for Simplified Arbitration from $25,000 to $50,000.
- Simplified Arbitration Procedures
- Regulatory Notice 12-35
- Provide Mediation Director with Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who is not in FINRA’s Roster.
- Optional All Public Panel Rules
- Large Case Pilot FAQ
- Short List Option to Reduce Extended List Appointment Special Procedures
- Operating the Digital Recorder for Offsite Hearing Training
- Previous Neutral Workshop Audio Files
- October 31, 2011—Disclosure
- FINRA Arbitrator Training Online Learning Courses
- Your Duty to Disclose Training Materials
- The Neutral Corner, Volume 4—2011
Please send any questions or comments to FINRA DR Call-in Workshop.
Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.
Listen to previous audio workshops.