The Neutral Corner – Volume 2—2024

The Neutral Corner – Volume 2—2024

Mission Statement

Prohibited Independent Research in the Age of Artificial Intelligence: Don’t Do It, by Jennifer LaMont, Regional Manager, FINRA Southeast Region 

FINRA Dispute Resolution Services (DRS) and FINRA News

  • Arbitration Case Filings and Trends
  • Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists 
  • Rule Change Retiring the FINRA Rule 10000 Series (Code of Arbitration Procedure)
  • Amendments to the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations 
  • Confidentiality Requirements for Suspicious Activity Reports
  • Updated Arbitrator’s Guide 
  • Register for the DR Portal Today
  • DR Portal Focus Groups
  • Practising Law Institute Securities Arbitration 2024

Mediation Update

  • Mediation Case Filings and Trends 
  • FINRA Mediator Summit
  • Mediator Disclosure Updates
  • Become a FINRA Mediator
  • FINRA’s Mediation Program for Small Arbitration Claims

Questions and Answers

  • Motion to Dismiss Order
  • BrokerCheck Reports
  • Chairperson Mentorship Program

Arbitrator Tip

  • Record the Hearing

Quarterly Arbitrator Disclosure Reminder 

 

Directory 

FINRA Offices