ROUNDTABLE NEWS & MEMBER HIGHLIGHT - SER was honored to comply with a request to assist FINRA's National Arbitration and Mediation Committee (NAMC) Discovery Subcommittee. In conjunction with the accelerating trend of financial professionals migrating to the investment advisory platform, NAMC sought SER’s advice as to how the FINRA discovery guide should be modified to accommodate the expected surge in investment advisor related disputes. Ross Tulman (Director Emeritus and two time past President), and Jeffery Schaff (also a two time past President), independently provided detailed responses that were submitted to the NAMC.
Richard (Rick) Berry, Director of FINRA Dispute Resolution Services, shared that the Subcommittee has met numerous times and has scheduled three more in person meetings throughout 2025. Rick thanked SER “for providing its expertise to the Subcommittee regarding the BD/IA portion of the Subcommittee’s work." Rick shared the Subcommittee is updating the entirety of the Discovery Guide. Once the Subcommittee finishes its work, "it’s off to the FINRA Board, and then a rule filing with the SEC, public comment, and eventually, approval."
As a dispute neutral organization, part of SER's core purpose is to help improve the dispute resolution process in areas where we can be of assistance.
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