19 min listen
What is FINRA’s Dispute Resolution Forum?
FromFINRA Unscripted
ratings:
Length:
14 minutes
Released:
Jun 19, 2018
Format:
Podcast episode
Description
FINRA operates the largest securities dispute resolution forum in the United States, with disputes resolved through arbitration and mediation. But for those unfamiliar with arbitration or mediation, it can be a confusing process.
What is FINRA arbitration? How might you end up with a case in arbitration or mediation? What’s the difference between the two? What does the process look like?
In this episode, FINRA’s Head of Dispute Resolution, Rick Berry, answers these questions and more.
For more about FINRA arbitration, visit our website.
What is FINRA arbitration? How might you end up with a case in arbitration or mediation? What’s the difference between the two? What does the process look like?
In this episode, FINRA’s Head of Dispute Resolution, Rick Berry, answers these questions and more.
For more about FINRA arbitration, visit our website.
Released:
Jun 19, 2018
Format:
Podcast episode
Titles in the series (100)
CRD Transformation: Enhancing the Registration & Disclosure Process: Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process. by FINRA Unscripted