FINRA Issues Regulatory Notice Seeking Comments on Rule Changes To Protect Against At-Risk Firms. Unpaid Arbitration Awards Definitely a Focus!
on

FINRA has issued a Regulatory Notice seeking comments on Rule changes aimed at better protecting investors from firms with significant regulatory histories. Arbitration is prominently mentioned throughout.

...Read More

Latest Neutral Corner from FINRA’s Office of Dispute Resolution Hits the Electronic Newsstand. Lead Article Describes Tips for Effective Mediation
on

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”),

...Read More

Post Image
Feds Ban PDAAs in Nursing Home Admission Agreements for Facilities Receiving Federal Funding
on

The Centers for Medicare and Medicaid Services has issued final regulations banning nursing homes and long-term care facilities receiving federal funds from using mandatory predispute arbitration agreements.

...Read More

Post Image
End-Of-Summer Update on Pending FINRA Arbitration Rule Filings
on

In early September we reported on updates and additions to the “Arbitration and Mediation” part of the Authority’s Website, including rule filing status.

...Read More

Post Image
Rulemaking Petitions: How Do They Work and Can They Impact Arbitration?
on

First, let’s make the topic real. Just last month, the SEC posted a petition for rulemaking that suggests the Commission take steps to improve the FINRA arbitration process,

...Read More

Post Image
Highlights of City Bar’s Hot Topics Program (Part I)
on

The annual half-day program on securities arbitration and mediation, sponsored by the Association of the Bar of the City of New York, took place earlier this year.

...Read More

Read Our Recent Blog