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The Financial Industry Regulatory Authority, Inc. (FINRA) regulates broker-dealer firms and administers most securities-related arbitrations in the US. Over the years, FINRA has been active in working to carry out its mission to protect investors by making sure the securities industry operates fairly and honestly. It has a set of rules for arbitrating disputes between FINRA members and their customers. On November 20, 2016, amendments to the Rule 12504 and 13540 of the FINRA Code of Arbitration Procedure was approved. The changes provide a new and additional basis for pre-hearing motions to dismiss in FINRA arbitrations. In light of these changes, it is important for FINRA members to keep abreast of the latest updates in FINRA arbitrations to reduce the chances of a surprise award.
In this LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will discuss FINRA arbitration process, including pre-hearing matters, motion practice, hearings, and awards. They will also provide guidance to FINRA investigations and enforcement actions.
Key topics include:
– Understanding FINRA Arbitration
– The Arbitration Process
– Risks of FINRA Disciplinary Action
– Latest Updates to FINRA Code of Arbitration Procedure
– Best Practices for Counsel