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ARTICLE · 14 SEPTEMBER 2017

FINRA Releases August 2017 Monthly Recap Podcast

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FINRA released a podcast summary of FINRA news, notices and compliance resources from August 2017 (see August 2017 Monthly Recap transcript). The podcast highlighted:

United StatesLitigation, Mediation & Arbitration
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FINRA released a podcast summary of FINRA news, notices and compliance resources from August 2017 (see August 2017 Monthly Recap transcript). The podcast highlighted:

  • Regulatory Notice 17-25, which explained changes to FINRA rules on arbitration procedures. Under the new rules, the FINRA Office of Dispute Resolution will be required to send an arbitrator list to all parties at the same time, within approximately 30 days of the due date of the last answer. The changes will become effective on September 18, 2017.
  • Regulatory Notice 17-26, which detailed the forthcoming transition from a paper version of Form 211 to an electronic version for compliance with FINRA Rule 6342. Firms may begin using the electronic Form 211 on September 11, 2017, and FINRA will no longer accept paper filings as of October 23, 2017.

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