Alternative Dispute Resolution (CLE)

FINRA Arbitration: Current Issues and Practice Tips for 2022

2022-09-12T05:53:15-04:00

As part of its mandate to ensure that investors and regulators have the information they need regarding broker-dealer operations, the Financial Industry Regulatory Authority (FINRA) continues to initiate significant efforts in improving the expungement framework. One of the top priorities in its anticipated regulatory notice is to revisit the proposed policy changes for the expungement processes, particularly concerning the rules for specialized arbitration panels. It underscores the need for arbitrators to look closely at any FINRA developments to develop an effective litigation strategy.

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