The Neutral Corner - Volume 1—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

FINRA Arbitration and Arbitrator Disciplinary Referrals (by Daniel Zailskas, Case Administrator, FINRA Office of Dispute Resolution Southeast Region)

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • Arbitrator List Selection Process
  • FINRA Dispute Resolution Task Force Status Report
  • Guidelines for Arbitrator Reimbursement
  • New York State Bar Association: Securities Arbitration and Mediation 2017
  • 2017 FINRA Annual Conference
  • American Bar Association Annual Arbitration Training Institute
  • DR Portal Update
  • SEC Rule Approvals
    • Broadening Chairperson Eligibility in Arbitration
    • Motions to Dismiss in Arbitration
    • Use of Dispute Resolution Party Portal
  • Rulemaking Items Discussed at the FINRA Board of Governors March 2017 Meeting
    • Late Cancellation of Prehearing Conferences in Arbitration

Arbitrator Recruitment Ambassador Initiative (by Mara Weinstein, Neutral Recruiter/Trainer, FINRA Office of Dispute Resolution Neutral Management)

Additional Steps to Limit Late Arbitrator Recusals (by David Carey, Associate Director, FINRA Office of Dispute Resolution Case Administration)

Mediation Update

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

Question and Answer

  • Handling Exhibits

Education and Training

  • Available FINRA Training

Arbitrator Tip

  • Expediting the Hearing

Quarterly Arbitrator Disclosure Reminder