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The Neutral Corner - Volume 3—2017

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
Subpoenas and Orders of Appearance and Production (by Barry Temkin and Kate DeGeronimo)

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • Hurricane Maria: Accommodations for Hearings Scheduled in Puerto Rico
  • Award Information Sheet
  • ADTRAV: FINRA’s New Travel Service
  • DR Portal Enhancements
  • Demographic Survey
  • Ninth Annual Securities Dispute Resolution Triathlon
  • Follow Us on Social Media
  • SEC Rule Approvals
    • Expedited List Selection in Arbitration
    • Amendments to the Non-Public Arbitrator Definition
  • Rulemaking Items Discussed at the FINRA Board of Governors July 2017 Meeting
    • Unpaid Arbitration Awards

Mediation Update

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

Questions and Answers

  • Independent Research
  • Jurisdiction Over Terminated Member Firms and Associated Persons

Quarterly Arbitrator Disclosure Reminder