Neutral Workshop Audio and Video 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:
Rick Berry, Executive Vice President of FINRA Dispute Resolution, assisted by key FINRA staff members, discuss recent rule amendments and the forum's initiatives for 2015. The video also consists of an expungement refresher training in the form of a "Question and Answer session" with guest speaker Richard Pullano, Vice President and Chief Counsel of FINRA’s Registration and Disclosure Department. Joining Mr. Berry and Mr. Pullano are Katherine Bayer, Regional Director of Dispute Resolution's Northeast office, and Barbara Brady, Vice President and Director of Neutral Management.
July 31, 2014 - The Importance of Arbitrator Disclosure
(MP3 20 minutes)
Linda Fienberg, President of FINRA Dispute Resolution, and Barbara Brady, Vice President of Neutral Management, discuss the importance of arbitrator disclosure, provide tips to assist arbitrators meet their disclosure obligations and explain what FINRA does to enhance arbitrator disclosure.
May 8, 2014 - A Look Back at 2013 and a Look Ahead at 2014
(MP3 28 minutes)
Linda Fienberg, president of FINRA Dispute Resolution, assisted by key members of Dispute Resolution, provided an overview of the forum's highlights in 2013 and initiatives pending in 2014, including changes to the rules relating to expungement, modifications to the definitions of public and non-public arbitrators, safeguarding personal confidential information, and increases to the arbitrator honorarium.
December 12, 2013 - Overview of the Central Registration Depository and BrokerCheck, the Role of Arbitrators in the Expungement Process, Technology Initiatives, and Increases to Arbitrator Honoraria
(MP3 23 minutes)
Linda Fienberg, President of FINRA Dispute Resolution, and Richard Pullano, Vice President and Chief Counsel of FINRA’s Registration and Disclosure Department, provided an overview of the Central Registration Depository (CRD) and BrokerCheck, stressing the important role arbitrators play in safeguarding the integrity of the information in CRD in the expungement process. In addition to providing an update about important Dispute Resolution technology initiatives, Ms. Fienberg discussed a proposal to increase arbitrator honoraria.
May 16, 2013 - Tips for Conducting Efficient Hearings
(MP3 35 minutes)
Linda Fienberg, President of FINRA Dispute Resolution, discusses proposed rule changes to the Customer Option Rule and the Discovery Guide. Also, Barbara Brady, Vice President and Director of Neutral Management, moderates a discussion with experienced FINRA arbitrators Jill Gross, Professor of Law and Director of Legal Skills at Pace University School of Law, and David Robbins, Partner, Kaufmann, Gildin, Robbins & Oppenheim LLP.
Arbitrators Gross and Robbins review their strategies for conducting prehearing conferences and hearings, including:
- the benefits of the direct communication rule;
- how to handle objections;
- when to pose questions to testifying witnesses; and
- how to control a case consistent with the parties' expectations.
February 6, 2013 - Customer Option Rule, Disputes Involving Investment Advisers, Appointment of “Extended List” Arbitrators, and Subpoena and Order Rules
(MP3 26 MB)
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.
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;
- Voluntary Program for Large Cases;
- 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
- Voluntary Program for Large Cases 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.