New Recommendations by the FINRA Dispute Resolution Task Force (8th Article)

Posted on March 13th, 2017 at 9:57 AM
New Recommendations by the FINRA Dispute Resolution Task Force (8th Article)

From the Desk of Jim Eccleston at Eccleston Law LLC:

This is the eighth in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). NAMC is FINRA’s standing Board advisory committee.

The Task Force recommended that FINRA develop a specific procedure to notify arbitrators about a proposed rule change. The procedure will also advise the arbitrations on how they can draft a comment on a proposed rule change.                                                

FINRA agreed with the Task Force’s recommendation that arbitrators should be advised on a proposed rule change. As a result, FINRA implemented procedures to inform arbitrators through notices in The Neutral Corner (FINRA’s arbitrator and mediator newsletter), monthly emails to arbitrators, the Dispute Resolution web page, and an arbitrator subscription feed.

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities FraudUnauthorized TradingBreach of Fiduciary DutyRetirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.

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