Recent Trends and Key Issues in FINRA Arbitration and Enforcement
The Knowledge Group Webcast

Recent Trends and Key Issues in FINRA Arbitration and Enforcement

Recent Trends and Key Issues in FINRA Arbitration and Enforcement

The FINRA arbitration and enforcement landscape has undergone significant transformations in recent years. Among these changes include revisions to the arbitrator selection process, proposed regulations on the use of artificial intelligence, and adaptations to expungement proceedings. These developments underscore FINRA’s commitment to fortifying dispute resolution and enhancing regulatory oversight.

To help practitioners stay abreast of these evolving compliance requirements, the Knowledge Group is hosted a live webcast covering the latest trends and pivotal developments in FINRA arbitration and enforcement.

RumbergerKirk partner Rebecca Beers shared her insights on the current regulatory focus as well as provide best practices for maintaining compliance in this dynamic financial environment along with co-speaker Debra A. Jenks.

Rebecca shared that in FINRA arbitrations going forward, practitioners and parties alike will benefit from increased transparency from FINRA as a result of the new policies and rules to be implemented which will require written explanations of arbitrator removals and will give more opportunities to remove arbitrators for cause. In addition, she noted that she is following FINRA’s case statistics closely in the coming year to track the rate of new customer case filings and how many of them allege claims of Reg BI violations. “While claims have increased, both generally and invoking Reg BI specifically, it will be interesting to see if enforcement trends are reflected in new arbitration case filings, as Reg BI enforcement continues to be a priority for state and federal regulators,” she added.

Other major topics covered:

  • Regulatory Landscape: An Overview
  • Analysis of Notable Arbitration Cases
  • Enforcement Priorities and Strategies
  • Emerging Dispute Resolution Trends
  • Best Compliance Practices

Learn more and watch on demand