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The Neutral Corner - Volume 4—2016

We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.

Mission Statement

Year End Thank You

Arbitrator Disclosures: Requests for Additional Information by Steven B. Caruso and Allison Patton

Arbitrator Disclosures and “The Importance of Being Earnest”: Former Name Disclosures by Sandra D. Grannum

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • FINRA Dispute Resolution Task Force Status Report
  • Chairperson Mentorship Program
  • DR Portal News
  • Results of the Eighth Annual Dispute Resolution Triathlon
  • Office of Dispute Resolution Recruitment Video
  • SEC Rule Approvals
    • Panel Selection in Customer Cases with Three Arbitrators
    • Motions to Dismiss in Arbitration
    • Use of the Dispute Resolution Party Portal in Arbitration and Mediation
    • Broadening Chairperson Eligibility Requirements
  • Rulemaking Items Discussed at FINRA Board of Governors September 2016 and December 2016 Meetings
    • Non-Public Arbitrator Definition
    • Sending Arbitrator Selection Lists to Parties
    • Simplified Arbitration

Guidance on Causal Challenges of Arbitrators

Option for Explained Decisions at No Additional Cost

Neutrals Participating in Rule Development by Rushelle Bailey

Mediation Update

  • Mediation Statistics
  • Discontinuation of Mediator Annual Fee
  • Mediation Settlement Month
  • Mediation Program for Small Arbitration Claims

Questions and Answers

  • Serving on Multiple Related Cases
  • Importance of Completing the Oath of Arbitrator and Disclosure Checklist Promptly and Completely

Education and Training

  • Fall 2016 Neutral Workshop—Best Practice Tips for Chairpersons

Quarterly Arbitrator Disclosure Reminder