Regulatory Notice 17-34
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
The FINRA Codes of Arbitration and Mediation Procedure permit compensated non-attorneys to represent clients in securities arbitration and mediation subject to certain exceptions. FINRA is conducting a review of the efficacy of continuing to allow such representation. The Notice outlines FINRA’s review of compensated non-attorney representatives’ (NAR firms) activities at the forum and seeks responses to questions related to forum users’ experiences with NAR firms.
Questions concerning this Notice should be directed to:
- Kenneth L. Andrichik, Senior Vice President and Chief Counsel, Office of Dispute Resolution, at (212) 858-3915; or
- Kristine Vo, Assistant Chief Counsel, Office of Dispute Resolution, at (212) 858-4106.
|Date||Commenter||Format - Size|
|10/19/2017||Mutual Trust Co. Of America||PDF - 48.27 KB|
|10/30/2017||Law Offices of Jeffrey A. Feldman||PDF - 114.82 KB|
|11/1/2017||Gusrae Kaplan Nubaum PLLC Attorneys at Law||PDF - 99.53 KB|
|11/3/2017||Dobin Law Group, P.A.||PDF - 241.51 KB|
|11/3/2017||Kenneth Starr||PDF - 53.03 KB|
|11/3/2017||Phil Glick||PDF - 48.93 KB|
|11/4/2017||Securities Arbitration Commentator, Inc.||PDF - 493.29 KB|
|11/6/2017||Micalyn S. Harris||PDF - 46.79 KB|
|11/6/2017||Thomas Edward Wall||PDF - 8.72 KB|