Tag Archives: Regulatory Notice 17-34

Deadline for Comments on Regulatory Notice 17-34 – Arbitration Procedures

FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest. The FINRA Codes of Arbitration and Mediation Procedure permit compensated non-attorneys to represent clients in securities arbitration and mediation subject to certain exceptions. FINRA is conducting a review of the efficacy of continuing to allow such … Continue reading Deadline for Comments on Regulatory Notice 17-34 – Arbitration Procedures

Is There a Place for Non-Attorney Representation Firms in Arbitration?

The FINRA Codes of Arbitration and Mediation Procedure (“Codes”) permits non-attorney representation of  clients in securities arbitration and mediation subject to certain exceptions.  FINRA is currently conducting a review of the efficacy of continuing to allow such representation.  Typically, while some parties may be represented by relatives or friends who assist with case preparation or … Continue reading Is There a Place for Non-Attorney Representation Firms in Arbitration?