FINRA's Dispute Resolution Pandemic Response

Arbitration Law Review, Vol. 13 (2021)

20 Pages Posted: 7 Jul 2021 Last revised: 1 Jun 2022

Date Written: July 1, 2021

Abstract

In March 2020, FINRA began to transition its dispute resolution services to meet the needs of consumers and the securities industry while in the middle of a global pandemic. This paper details the ways in which FINRA was well prepared for the transition, as well as notes some difficulties in providing services in a new way. Ultimately, the paper encourages FINRA to maintain some online services, provide more training for neutrals, and evaluate online services for effectiveness and improvement.

Keywords: FINRA, arbitration, mediation, pandemic, COVID-19

Suggested Citation

Blankley, Kristen, FINRA's Dispute Resolution Pandemic Response (July 1, 2021). Arbitration Law Review, Vol. 13 (2021), Available at SSRN: https://ssrn.com/abstract=3879045 or http://dx.doi.org/10.2139/ssrn.3879045

Kristen Blankley (Contact Author)

University of Nebraska Lincoln ( email )

United States

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