Tag: securities regulator
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The Arbitrator’s Role: Ethical Considerations
The Arbitrator’s Role: Ethical Considerations FINRA encourages arbitrators to periodically review the Code of Ethics for Arbitrators in Commercial Disputes (Code of Ethics) to refresh themselves about their duties and ethical responsibilities. The information contained in this guide is a brief reminder of the arbitrators’ ethical duties. The guide is neither an exhaustive list nor…
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What type of training does a FINRA Arbitrator candidate receive?
What type of training does a FINRA Arbitrator receive? What type of training does a FINRA Arbitrator candidate receive? After the initial application process, an arbitrator candidate must successfully complete FINRA’s Basic Arbitrator Training Program before becoming eligible to serve on arbitration cases. FINRA’s Basic Arbitrator Training Program consists of several parts: an Online Basic…