Do securities arbitration decisions become public records?
In Kansas, securities arbitration decisions typically do not become public records. This is because securities arbitration proceedings are generally confidential, meaning that the proceedings and the decisions rendered in them are not made available to the public. The purpose of this is to protect both the parties involved and the arbitrator from potential backlash or legal trouble. Securities arbitration proceedings are conducted according to the rules outlined by the Financial Industry Regulatory Authority (FINRA) or the American Arbitration Association (AAA). Both of these organizations allow the parties involved in the arbitration process to decide whether they would like their decision to become public or not. If both parties decide that the decision should remain confidential, then it stays private and does not become a public record. In some cases, FINRA or AAA may require that certain information regarding the arbitration decision be made public in order to comply with certain regulations. If this is the case, then only certain limited information regarding the decision will be publicly available, but the full decision itself will remain confidential. In general, securities arbitration decisions in Kansas do not become public records. Whether or not a decision is made public is up to the parties involved, and in some cases, is regulated by FINRA or AAA.
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