FINRA Arbitrations: A Comprehensive Guide for 2018 and Beyond

09.10.18

In December 2017, the Financial Industry Regulatory Authority (FINRA) issued a proposal that will revamp and strengthen expungement rules. Proposed changes include adjustments to the timeframe of filing expungement requests and the mandated unanimous consent of a FINRA arbitration panel to grant expungement. Brokers, however, are opposing to the proposed changes.

On September 7 2018, Meredith Lees joined a panel of thought leaders who discussed the fundamentals and updates regarding these proposed changes, as well as other developments concerning significant issues surrounding FINRA Arbitrations. Focused on helping avoid common pitfalls and risk issues in the evolving climate of FINRA forum, the webcast was hosted by The Knowledge Group and covered the following key topics: 

  • Best Practices
  • The Customer Code and Proposed Changes
  • Arbitrator Selection and Discovery
  • Drafting an Effective Answer
  • Motions to Dismiss under Rule 12504
  • Vacating an Arbitration Award
  • Standards of Conduct (DOL Fiduciary vs Regulation Best Interest)
  • FINRA focus on Senior investors
  • Securities Product & Controversy Claims
  • Supervision and High Risk Brokers
  • Revised Sanctions Guidelines
  • Unpaid Arbitration Awards

To find the webinar, click here

About The Knowledge Group:
The Knowledge Group has been a provider of Continuing Education (CLE, CPE) for over 13 Years. They produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

 
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