The Neutral Corner - Vol 1- 2015

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.

Volume 1—2015 (PDF 83 KB)

Mission Statement

Dispute Resolution News

  • Case Filings and Trends
  • DR Portal News
  • FINRA Dispute Resolution Task Force
  • Expanded Expungement Guidance Update
  • Administrative Frequently Asked Questions
  • Arbitrator Reimbursement Guidelines
  • Dispute Resolution Outreach
  • FINRA Annual Conference: May 27 – 29, 2015

SEC Rule Approval

  • Revisions to Arbitrator Definitions

SEC Rule Filing

  • Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing

Mock Arbitrations

Mediation Update

  • Mediation Statistics
  • Mediation Program for Small Arbitration Claims

Question and Answer

  • Arbitrator Selection Process

Education and Training

  • Neutral Workshop: February 12, 2015—Rule Amendments; 2015 Vision; Expungement Refresher

Arbitrator Tips

  • Stay on Schedule
  • Turn the Hearing Recorder Off During Executive Sessions and Deliberations