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The Neutral Corner - Volume 3—2023

The Neutral Corner – Volume 3—2023

Mission Statement

Objection, Your Neutral: Handling Objections in the FINRA Arbitration Forum by Cassie Dimitry, FINRA Intern

FINRA Dispute Resolution Services (DRS) and FINRA News

  • Arbitration Case Filings and Trends
  • Regulatory Notice 23-12: FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
  • Approved Rule Change to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes 
  • Implementing Lowenstein Recommendations
  • SEC Response to Congress: Mandatory Arbitration Among SEC-Registered Investment Advisers
  • 2023 Demographic Survey 
  • Register for the DR Portal Today

Mediation Update

  • Mediation Case Filings and Trends 
  • October is Mediation Settlement Month
  • Mediator List Process and Disclosure Updates
  • Mediator Training Opportunities
  • Become a FINRA Mediator

Questions and Answers

  • Submitting and Reviewing Awards on the DR Portal 
  • Submitting Orders and Subpoenas on the DR Portal

Education and Training 

  • Enhanced Expungement Training
  • Updated Chairperson Training 
  • American Bar Association 2023 Ombuds Day: Diverse in Role, United in Service
  • American Bar Association 2023 Advanced Mediation and Advocacy Skills Institute 

Quarterly Arbitrator Disclosure Reminder 
FINRA Offices