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FINRA Issues Regulatory Notice on Customers' and Employees' Right To Choose Securities Arbitration
Author(s) -
Gross Jill I.
Publication year - 2016
Publication title -
alternatives to the high cost of litigation
Language(s) - English
Resource type - Journals
eISSN - 1549-4381
pISSN - 1549-4373
DOI - 10.1002/alt.21646
Subject(s) - notice , arbitration , business , accounting , broker dealer , finance , investment banking , law , political science
Access to arbitration in the securities industry's regulated forum is supposed to be guaranteed to customers with brokerage accounts and to employees of broker‐dealers under Financial Industry Regulatory Authority Inc. Rules 12200 and 13200.