The Neutral Corner - Volume 3—2018

Mission Statement

Special Proceeding for Simplified Arbitration

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • DR Portal News
  • Use the Most Current Version of Scripts and Forms
  • Tenth Annual Securities Dispute Resolution Triathlon (October 13 – 14, 2018)
  • 2018 Demographic Survey
  • New York State Bar Association: Securities Arbitration & Mediation 2018 (November 29, 2018)
  • SEC Rule Filing
    • Amendment to Provide Arbitrators a $200 Honorarium to Decide Without a Hearing a Contested Subpoena Request or a Contested Order for Production or Appearance
  • Regulatory Notice Seeking Comment
    • Amendments to Discovery Guide to Require Production of Insurance Information in Arbitration
  • SEC Rule Approval
    • $100 Honorarium Late Cancellation for Prehearing Conferences

Mediation Update

  • Mediation Statistics
  • Mediation Settlement Month
  • Mediation Program for Small Arbitration Claims
  • Keep It Current
  • Mediator Training Opportunites
  • Become a FINRA Mediator

Questions and Answers

  • Arbitrator Selection
  • Completing the Oath of Arbitrator and Arbitrator Disclosure Checklist

Education and Training

  • Spring 2018 Neutral Workshop: Tips From Practitioners
  • Video: Special Proceeding for Simplified Arbitration

Quarterly Arbitrator Disclosure Reminder