FINRA’s Office of Dispute Resolution (“ODR”) has once again posted the latest issue of its newsletter for arbitrators and mediators, The Neutral Corner (“TNC”) and,
With the statutory emphasis placed on specific procedures for SRO rulemaking — and with FINRA’s seemingly continuous flow of rule changes, amendments, and interpretations,
In this piece, we analyze some of the uses one can make of FINRA’s Hearing Locations table.
Click a link called “table format” above the map of the United States that appears in FINRA-DR’s monthly statistical report on its operations and a “Hearing Locations” table appears on the computer screen.
While FINRA frowns on brokers who fail to pay arbitration awards and fees, a worse offense is testifying falsely during the proceeding; it can bring a permanent end to one’s career in the industry,
After reporting on the appearance of FINRA CEO Robert Cook before a House Subcommittee last week, we thought we’d take a more intensive look at FINRA’s diversity efforts.