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What is FINRA’s Dispute Resolution Forum?

What is FINRA’s Dispute Resolution Forum?

FromFINRA Unscripted


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.
Released:
Jun 19, 2018
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.