Press Release (ePRNews.com) - Feb 12, 2017 - Lawyers and businesses arbitrating before the Financial Industry Regulatory Authority (FINRA) should be aware of key developments that tighten and streamline the process. The Securities and Exchange Commission (SEC) rule changes put strictures on who may be a public arbitrator, as well as on adjournments of arbitration hearings and referrals to FINRA enforcement. In addition, FINRA has issued rules on redaction of confidential information and published guidance on obtaining expungement of complaints.
In a one-hour LIVE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss how these changes impact parties engaged in or contemplating FINRA arbitration.
Key topics include:
· FINRA Codes of Arbitration – An Overview
· Scope and Limitations
· Dispute Resolution
· Expungement Guidance – An Update
· Enforcement Actions
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org Source :
The Knowledge Group