On April 9, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-11 to amend FINRA’s Code of Arbitration Procedure for Customer Disputes (Customer Code) to expand a customer’s options to withdraw an arbitration claim if a member firm or an associated person becomes inactive.
Continue Reading FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive