In a regulatory notice published on January 23, 2024, the Financial Industry Regulatory Authority (FINRA) announced the adoption of two proposed rules, both of which impact how member firms and associated persons approach...more
On February 6, 2024, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 24-03, which announced certain amendments to the Codes of Arbitration Procedure (the Codes). Among those were changes to the...more