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The Neutral Corner - Volume 4—2022

The Neutral Corner—Volume 4, 2022

Mission Statement

Year-End Message

Maintaining Civility in Arbitration (by Carissa Laughlin, Principal Analyst, FINRA Case Administration) 

Evidentiary Issues in Arbitration (by Tracy Remy, FINRA Extern)

DRS and FINRA News

  • Arbitration Case Filings and Trends
  • Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
  • Amendment to Change References in the Codes of Arbitration Procedure From the Neutral List Selection System to the List Selection Algorithm
  • COVID-19 Impact to Arbitration and Mediation Hearings 
  • In-Person Participation at DRS Arbitration Hearings and Mediation Sessions 
  • 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
  • Prehearing Conferences by Zoom
  • Updated Initial Prehearing Conference Script and Order
  • Updated Arbitrator Resource Guide for Virtual Hearings and New Pro Se User Guide for Virtual Hearings 
  • 2022 Demographic Survey Thank You
  • Results of the 13th Annual Securities Dispute Resolution Triathlon Program
  • Arbitrator Travel Policy Tips
  • DR Portal

Mediation Update

  • Mediation Case Filings and Trends 
  • FINRA Mediation Settlement Month
  • Mediator List Pilot Program 
  • DRS’ Mediation Program for Small Arbitration Claims
  • Keep It Current
  • Mediator Training Opportunities
  • Become a DRS Mediator

Questions and Answers

  • Arbitrator Etiquette for Virtual Prehearing Conferences and Evidentiary Hearings (Zoom Hearings)

Arbitrator Tips

  • Promptly Review Witness Lists
  • Identify Hearing Dates on the Record
  • Wait to Decide a Case 

Quarterly Arbitrator Disclosure Reminder 
FINRA Offices