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SER Comments on FINRA RN 18-13
June 25, 2018
After seeking and receiving input from the membership, SER's Board of Directors submitted comment on FINRA's RN 18-13 (link to full notice and comments). SER takes an ongoing interest in the continual improvement of the securities dispute resolution process. As a claimant/respondent neutral organization, we aim to comment on issues where our collective opinion can be applied. In the past, SER has had an impact on changes to FINRA's pre-hearing script and arbitrator instructions involving phantom retentions and electronic eavesdropping. In 2004 our founding member, Mary Calhoun, co-authored work on the non-sequestration of experts in the hearing room. (For more details, see Leadership section on our homepage.) As an SER member, if you come across areas you feel we can improve, please contact a member of the board.
SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.
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