14th Annual FINRA Listens...and Speaks Attend and Hear from FINRA Director
Join NYCLA's Arbitration and ADR,
Labor Relations and Employment Law, and
Securities and Exchanges Committees for a forum,
14th Annual FINRA Listens...and Speaks.
Katherine M. Bayer, Esq.,
Director,
Northeast Regional Office,
FINRA Dispute Resolution will discuss recent initiatives including:
- The FINRA DR Portal
- The new Arbitrator Experience Survey
- Large Case Pilot Program for cases of at least $10,000,000
- The short list option to reduce extended list appointments
- Investor claims against investment advisers not regulated by FINRA
- The invalidity of pre-dispute arbitration agreements for whistleblower disputes
- The Mediation Director’s new discretion to allow parties to select a mediator who is not on FINRA’s mediator roster
- The increased limit to $50,000 for simplified arbitrations
- Proposed rules regarding expungement, subpoenas, and the definitions of industry member and public member
- FINRA's recent experience with investors’ opting for an all-public arbitration panel
Forum moderator: Martin L. Feinberg, Committees on Arbitration & ADR and Securities & Exchanges
