Series 22: 6.6.4. The Mediation Process

Taken from our Series 22 Top-off Online Guide

6.6.4. The Mediation Process

Upon request by both parties, FINRA will determine whether a matter is eligible for mediation. If so, the parties select a mediator, either from a list provided by FINRA, or from another source of their own choosing. Parties agree in good faith to try to negotiate a settlement, but any party may withdraw from the process at any time. The mediator is a neutral facilitator who has no authority to determine is

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