For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
For complex or unusually large claims, perhaps parties should be able to request a selection of arbitrators that all have had at least three cases go to an award after a final hearing.
If all parties have agreed to take FINRA arbitration off the table, I see no reason they should not be able to enforce such an agreement.
I see no reason to take any class of disputes out of FINRA arbitration.
FINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.
