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”),
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,
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.
Just as we went to press, we learned that several financial industry groups have sued the Department of Labor in an effort to block implementation of its new fiduciary standard rule.