The Neutral Corner - Volume 1—2016

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.

The Neutral Corner—Volume 1 – 2016

Mission Statement

Dispute Resolution News

  • Case Filings and Trends
  • Updates to Monthly Statistics
  • Dispute Resolution Task Force
  • Changes to Expungement Requests
  • Update to Business Mileage Rate
  • FINRA Annual Conference: May 23 – 25, 2016
  • DR Portal News
  • SEC Rule Approval
    • Merger of Dispute Resolution With FINRA Regulation
  • Rulemaking Item Approved at the December 2015 FINRA Board of Governors Meeting
    • Award Offsets in Arbitration

Mediation Update

  • Mediation Statistics
  • FINRA Small Claims Mediation Program

Question and Answer

  • Maintaining Neutrality

Education and Training

  • FINRA Arbitrator Trainings Available Online

Arbitrator Disclosure Reminder

Arbitrator Tips

  • Scheduling Hearing Dates Within Nine Months of the Initial Prehearing Conference
  • Avoiding Late Recusals