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The Neutral Corner - Volume 1—2022

The Neutral Corner - Volume 1—2022

Mission Statement

Pilot Programs: Prehearing Conferences by Zoom
(by Shannon Bond, Associate Director, FINRA Case Administration)

FINRA Dispute Resolution Services and FINRA News

  • News Release: FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Process
  • COVID-19 Impact to Arbitration and Mediation Hearings
  • Vaccination Requirement for In-Person Participants (Except in Florida Hearings Locations)
  • Testing Requirement for In-Person Participants (Florida Hearing Locations Only)
  • Safety Protocols for In-Person Hearings
  • Virtual Arbitration Hearing Statistics
  • 2021 Arbitrator and Mediator Diversity Statistics
  • Accommodations for Arbitration Participants with Disabilities
  • Update to Business Mileage Rate
  • American Bar Association 2022 Spring Conference
  • 2022 FINRA Annual Conference
  • American Bar Association 15th Arbitration Training Institute
  • Arbitration Case Filings and Trends
  • DR Portal
  • Regulatory Notices
    • Regulatory Notice 21-09: FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
    • Regulatory Notice 21-34: FINRA Adopts Rules to Address Firms With a Significant History of Misconduct
    • Regulatory Notice 22-09: FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties

Mediation Update

  • Mediation List Process and Disclosure Updates
  • FINRA’s Mediation Program for Small Arbitration Claims
  • Mediation Case Filings and Trends
  • Keep It Current
  • Mediator Training Opportunities
  • Become a FINRA Mediator

Questions and Answers

  • Health Certifications and Attestations

Education and Training

  • Fall 2021 Neutral Workshop: Getting Back to In-Person Hearings and More

Quarterly Arbitrator Disclosure Reminder


FINRA Offices