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The Neutral Corner - Volume 2—2020

The Neutral Corner—Volume 2, 2020

Mission Statement

FINRA Arbitrators Successfully Conduct Virtual Hearings (by Nora Sassounian, Case Administrator, FINRA West Regional Office)

Anatomy of a Zoom Videoconference Mediation (by E. Scott Douglas, FINRA Mediator)

FINRA Dispute Resolution Services and FINRA News

  • Name Change to FINRA Dispute Resolution Services
  • COVID-19 Hearing Postponements and Virtual Hearings
  • COVID-19 Reduced Fee Program
  • Virtual Hearing Statistics
  • Case Filings and Trends
  • Practising Law Institute (PLI) Securities Arbitration 2020 (Webinar September 10, 2020)
  • SEC Rule Approvals
    • Applying Minimum Fees to Requests for Expungement of Customer Dispute Information
    • Regulatory Notice 20-11: Expanded Options for Customers if Firm or Associated Person is or Becomes Inactive
    • Regulatory Notice 20-15: Amending the Membership Application Program (MAP) Rules

Mediation Update

  • Mediation Staff Changes
  • COVID-19 Reduced Fee Mediation Program
  • Mediation Statistics
  • Mediation Program for Small Arbitration Claims
  • Keep It Current
  • Mediator Training Opportunities
  • Become a FINRA Mediator

Question and Answer

  • Additional Questions for Arbitrators

Education and Training

  • Available FINRA Training

Quarterly Arbitrator Disclosure Reminder Directory FINRA Offices