Status Report on FINRA Dispute Resolution Task Force Recommendation: February 8, 2017 Status Report
There are several proposals in various stages of the rulemaking process, including a rule that would provide for the expedited resolution of small customer and intra-industry disputes in claims involving $50,000 or less. Another pending rule includes FINRA notifying state securities regulators when brokers make a request for expungement relief. The SEC previously approved two proposals involving the selection of all public panels and the rules governing motions to dismiss, which became effective in January 2017.
