The New York County Lawyers’ Association presents "The 16th Annual FINRA Listens... and Speaks”

Date: Monday, February 2, 2015
Time: 5:00pm
Location:

RSVP: http://www.nycla.org/index.cfm?section=Calendar&page=event_Detail&itemID=3742&dateID=20150202

In this program, Ms. Bayer will discuss recent initiatives, including: increase in arbitrator honoraria, increase in certain arbitration fees and member surcharges, creation of the FINRA Dispute Resolution Task Force, expansion of arbitrator authority to refer matters to disciplinary investigation during an arbitration proceeding, expanded guidance on expungement hearings, and proposed new definitions for public and non-public arbitrators. Updates will include FINRA's recent experience with investors' opting for an all-public arbitration panel, the Large Case Pilot Program for cases of at least $10,000,000, the FINRA DR Portal, and investor claims against investment advisers not regulated by FINRA. As usual, Ms. Bayer will field questions from the audience.