The Financial Industry Regulatory Authority Inc. is making a move to further limit Wall Street veterans' ability to serve as public arbitrators, according to sources with direct knowledge of the ...
The SEC approved a FINRA proposed rule change to amend the definition of "public arbitrator" in its Customer and Industry Codes of Arbitration. Specifically, the proposed rule change would (a) exclude ...
The Financial Industry Regulatory Authority has sent a proposal to the Securities and Exchange Commission that would tighten limits on who is eligible to serve as a “public arbitrator,” precluding ...
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