The Neutral Corner - Volume 1—2018

Mission Statement

An Introduction to FINRA’s National Arbitration and Mediation Committee (By Steven B. Caruso and Darya Geetter)

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • DR Portal News and Q&As
  • NYC Bar Securities Arbitration & Mediation: Hot Topics 2018 (May 15, 2018)
  • American Bar Association 11th Annual Arbitration Training Institute (May 17 – 18, 2018)
  • FINRA Annual Conference (May 21 – 23, 2018)
  • FINRA Releases Paper Providing Perspectives on Customer Recovery
  • Regulatory Notice 18-06
    FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
  • SEC Rule Filings
    • Proposed Rule Filing Relating to Simplified Arbitration
    • Proposal to Eliminate Fee for Explained Decisions

Mediation Update

  • Mediation Statistics
  • Discontinuation of Mediator Annual Fee
  • Mediation Program for Small Arbitration Claims

Questions and Answers

  • Importance of Completing the Oath of Arbitrator and Checklist Promptly and Completely
  • Direct Deposit

Education and Training

  • FINRA Trainings

Arbitrator Tip

  • Scheduling Hearings Within Nine Months From the Initial Prehearing Conference

Quarterly Arbitrator Disclosure Reminder