226. Arbitration Requirements
(a) Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4
All capital acquisition brokers are subject to FINRA Rule 2263.
(b) Requirements When Using Predispute Arbitration Agreements for Customer Accounts
All capital acquisition brokers are subject to FINRA Rule 2268.
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Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37. |