FINRA Announces Arbitration Task Force

Arbitration Task Force Attorney

Securities Lawyer 101 Blog

On July 17, 2014, the Financial Industry Regulatory Authority (FINRA) announced its 13-member Arbitration Task Force. The task force will consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA’s securities arbitration forum for all participants. The task force is comprised of seven public members and six industry members.

“FINRA’s mission is to protect investors and support their confidence in the capital markets,” said Richard Ketchum, FINRA Chairman and Chief Executive Officer. “Arbitration plays an essential role in establishing a fair, timely and cost-effective process for resolving disputes between investors and brokers.  This task force brings together a diverse group of leading investor advocates, academics, regulators and industry representatives, and I am confident that their recommendations will help ensure FINRA’s arbitration process continues to serve the needs of the investing public.”

At the conclusion of its review next year, the task force will make recommendations to the National Arbitration and Mediation Committee (NAMC), FINRA’s Standing Board Advisory Committee.

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