Tag Archives: Regulatory Notice 16-25

Forum Selection Involving Customers & Associated Persons

Based upon recent federal appellate court and Second Circuit decisions, the Financial Industry Regulatory Authority (“FINRA”) released guidance regarding forum selection provisions between member firms and their customers and employees (Regulatory Notice 16-25).  The guidance was the result of an apparent conflict between the court decisions and FINRA rules regarding arbitration. In the federal appellate … Continue reading Forum Selection Involving Customers & Associated Persons