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The Neutral Corner - Volume 4—2017

Mission Statement

Year End Message

Seven Steps to a Successful Telephonic Mediation (Christopher Kauders, FINRA Mediator)

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • Hurricane Maria Update: Guidance for Cases Venued in Puerto Rico
  • Demographic Survey—Thank You
  • NYCLA Program: 19th Annual FINRA Listens…and Speaks
  • DR Portal News
  • SEC Rule Approval
    • Amendment to Non-Public Arbitrator Definition
  • Regulatory Notices
    • Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information
    • Expanding Options for Customers in Disputes Involving an Inactive Firm or Associated Person
    • Non-Attorney Representatives in Arbitration

Mediation Update

  • Mediation Statistics
  • Mediation Settlement Month
  • Mediation Settlement Day
  • Mediation Program for Small Arbitration Claims

Questions and Answers

  • Preliminary Fee Assessments
  • Reducing Award Turnaround Time

Education and Training

  • Fall 2017 Neutral Workshop—Motions to Vacate

Quarterly Arbitrator Disclosure Reminder