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The Neutral Corner - Volume 2—2021

The Neutral Corner—Volume 2, 2021

Mission Statement

Zoom Zooming into Mediations In COVID-Times (by James Yellen, FINRA Arbitrator and Mediator)

FINRA Virtual Mediations (by Narielle Robinson, FINRA Mediation Case Administrator) 

Bits, Bytes and E-Discovery Fights: Part II (by Lisa Miller, FINRA Arbitrator)

Is That Your Final Decision? (by Shannon Bond, FINRA Associate Regional Director, FINRA Midwest Regional Office)

FINRA Dispute Resolution Services and FINRA News

  • COVID-19 Impact to Arbitration and Mediation Hearings 
  • Safety Protocols for In-Person Hearings
  • Virtual Arbitration Hearing Statistics
  • Arbitration Case Filings and Trends
  • FINRA Dispute Resolution Services Headquarters and Northeast Regional Office Have Moved
  • Register for the DR Portal Today
    • DR Portal Automated Reminders
    • Portal How-to Videos
  • American Bar Association 2021 Dispute Resolution Tech Expo Virtual Conference
    • Regulatory Notices
    • Regulatory Notice 21-17: FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
    • Regulatory Notice 21-16: FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
  • Regulatory Notice 21-04: FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
  • SEC Rule Filing
    • Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests

Mediation Update

  • Expansion of 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

  • Scheduling Hearings

Education and Training

  • Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
  • Fall 2020 Neutral Workshop: Tips for Virtual Hearings
  • Arbitrator Training Videos for Virtual Hearings 
  • FINRA Virtual Conference Panels: COVID-19’s Impact on Arbitration—Practical Tips & What’s New in Arbitration Procedures

Quarterly Arbitrator Disclosure Reminder 
FINRA Offices