FINRA Issues Regulatory Notice 21-16 Concerning Predispute Arbitration Agreement Requirements

While Financial Industry Regulatory Authority (FINRA) rules do not require member firms and customers to enter into arbitration agreements or otherwise preclude parties from litigating disputes through the state and federal court systems, FINRA issued and published Regulatory Notice 21-16 (the “Notice”) on April 21, 2021 to emphasize the applicable FINRA Rules when member firms choose to utilize mandatory pre-dispute arbitration agreements for customer and investor accounts.

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