Regulatory Notice 17-34

FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration

Comment Period Expires: December 18, 2017


The FINRA Codes of Arbitration and Mediation Procedure permit compensated non-attorneys to represent clients in securities arbitration and mediation subject to certain exceptions. FINRA is conducting a review of the efficacy of continuing to allow such representation. The Notice outlines FINRA’s review of compensated non-attorney representatives’ (NAR firms) activities at the forum and seeks responses to questions related to forum users’ experiences with NAR firms. 

Questions concerning this Notice should be directed to:

  • Kenneth L. Andrichik, Senior Vice President and Chief Counsel, Office of Dispute Resolution, at (212) 858-3915; or
  • Kristine Vo, Assistant Chief Counsel, Office of Dispute Resolution, at (212) 858-4106.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
10/19/2017Mutual Trust Co. Of AmericaPDF - 48.27 KB
10/30/2017Law Offices of Jeffrey A. FeldmanPDF - 114.82 KB
11/1/2017Gusrae Kaplan Nubaum PLLC Attorneys at LawPDF - 99.53 KB
11/3/2017Dobin Law Group, P.A.PDF - 241.51 KB
11/3/2017Kenneth StarrPDF - 53.03 KB
11/3/2017Phil GlickPDF - 48.93 KB
11/4/2017Securities Arbitration Commentator, Inc.PDF - 493.29 KB
11/6/2017Micalyn S. HarrisPDF - 46.79 KB
11/6/2017Thomas Edward WallPDF - 8.72 KB