Regulatory Outlook | 11.16.21
FINRA Moves Toward Hybrid Arbitration Hearings
FINRA CEO Robert W. Cook said that the regulator could permanently allow remote participation in arbitration proceedings. During a virtual conference sponsored by the McDonough School of Business at Georgetown University, he said, "We've got a great arbitration task force that has industry representatives, representatives of the investor community who are going to help us think about how we can continue to have a hybrid environment in this space going forward." Feelings about remote hearings were mixed among lawyers representing customer claimants against brokerages and registered representatives in the FINRA arbitration system.
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