FINRA Dispute Resolution Task Force

By Patricia Uceda, Spring 2015 Graduate Research Assistant


FINRA recently formed a Dispute Resolution Task Force to consider possible enhancements to its alternative dispute resolution forums. The task force is made up of individuals with a broad range of interests in securities disputes, including professors, investor attorneys, FINRA arbitrators and mediators, industry attorneys, and financial institution directors. With their input, FINRA hopes to further realize their goal of providing a fair, efficient, and economical forum to resolve disputes.

Specifically, the Task Force will be working to enhance the transparency, impartiality, and efficiency of FINRA’s securities dispute resolution forum. To that end they will be examining a wide variety of issues that currently affect and could affect arbitration and mediation in the next twenty years.

The Task Force recently met on January 22, 2015 to review their progress. At the conclusion of their review in fall of 2015, they will make recommendations to the National Arbitration and Mediation Committee, FINRA’s Standing Board Advisory Committee.

The Task Force is currently soliciting information and viewpoints from forum participants and members of the general public. If you wish to contribute to their discussion, send them an email at DRTaskForce[at]