Arbitration in 2017 and Beyond: Making Arbitration Great Again Podcast # 5 April 5, 2017

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Introduction 2016 saw many developments in the arbitration world. The Consumer Financial Protection Bureau proposed its long-awaited arbitration rule; the Supreme Court accepted another case involving the preemptive power of the Federal Arbitration Act over state laws; several anti-arbitration bills were again introduced in Congress; the Department of Labor finalized a fiduciary rule for those offering retirement investment advice; and FINRA went to work evaluating and implementing the FINRA’s Dispute Resolution Task Force’s 51 recommendations to improve the process. In this fast-paced Podcast, experts and practitioners in the securities dispute resolution field will discuss what the future portends for arbitration in general and securities arbitration.

Speakers Richard “Rick” Ryder, Esq. Matthew Farley, Esq. President Securities Arbitration Commentator Maplewood, NJ Matthew Farley, Esq. Former Partner Drinker Biddle & Reath LLP Glen Ridge, NJ George H. Friedman, Esq. George H. Friedman Consulting, LLC Fordham Law School Arbitration Resolution Services, Inc. Teaneck, NJ Deborah Masucci, Esq. Arbitrator and Mediator Chair, International Mediation Institute Brooklyn, NY Peter Mougey, Esq. Shareholder Levin Papantonio Pensacola, FL

What we will be discussing Does President Trump favor arbitration? Is the anti-arbitration movement dead? What’s the future of Consumer Financial Protection Bureau or at least its proposed arbitration rule? What will happen to the DOL’s fiduciary rule? The SEC’s? What’s the future of financial regulation?

Discussion topics Where does the new president stand on arbitration? Is the anti-arbitration movement dead? The Future of Financial Regulation Is Dodd-Frank long for this world? Is the CFPB long for this world? Where will we end up on a fiduciary rule? An SRO for RIAs? Where will we be 4 years from now?

Where does the new president stand on arbitration? President Trump’s past use of arbitration Post-election comments and actions The regulatory review

Is the anti-arbitration movement dead? The GOP hat trick (House, Senate, White House) Fate of anti-arbitration bills and regulations New focus on fairness? SCOTUS Judge Gorsuch and arbitration Are more vacancies coming?

The Future of Financial Regulation Is Dodd-Frank long for this world? Is the CFPB long for this world? Where will we end up on a fiduciary rule? An SRO for RIAs?

The Future of Financial Regulation (cont’d) Is Dodd-Frank long for this world?  Repeal and replace is on the “First Two Hundred Days” list Will Congress leave in place the SEC's section 921 authority to ban or limit PDAA use? CFPB’s section 1028 authority? What will happen to CFPB’s proposed arbitration rule banning class action waivers? What will “replace” look like?

The Future of Financial Regulation (cont’d) Is the CFPB long for this world? Fate of the PHH decision – May 23 rehearing GOP bills to restructure or eliminate the CFPB Where will we end up on a fiduciary rule? DOL’s proposed fiduciary rule is on hold: now what? Will SEC act now that DOL’s rule is in limbo (or worse)?

The Future of Financial Regulation (cont’d) An SRO for RIAs?   Will President Trump be amenable to FINRA as SRO for RIAs? If not, then what? Will FINRA re-examine its chances under the new regime? How about a single financial regulator?

Where will we be in four years? The panelists’ predictions for the future… Arbitration in the nation and around the world What will financial regulation look like? Will there be a fiduciary rule? Will mandatory arbitration and class action waivers still exist?

Conclusion Concluding Remarks Don’t forget to follow us on Twitter: @SACDispRes (Securities Arbitration Commentator) @GFriedmanADR (George Friedman ) Be sure to look for our next podcast.

Thank you for attending. Please visit our Website at www Thank you for attending. Please visit our Website at www.sacarbitration.com/blog/video-podcasts/ to see additional program offerings Podcast # 5 April 5, 2017