Defining Who is a Customer in FINRA Arbitration: Time to Clear Things Up!

The Securities Arbitration Commentator, with its first issue in April 1988, remains the only periodical to focus exclusively on the practice and process of securities/commodities arbitration. It reports on developments, rule changes, tactical matters, and arbitration case law, Vol. 2012, No. 6, May

6 Pages Posted: 27 Dec 2015

See all articles by George Friedman

George Friedman

Fordham University School of Law

Date Written: December 24, 2015

Abstract

This article covers recent regulatory and legal developments on the question of how the term “customer” has come to be defined and interpreted for access to FINRA arbitration via FINRA Rule 12200. It proposes amendments that would better define this term.

Keywords: arbitration, securities, FINRA

JEL Classification: K12, K22, K23

Suggested Citation

Friedman, George, Defining Who is a Customer in FINRA Arbitration: Time to Clear Things Up! (December 24, 2015). The Securities Arbitration Commentator, with its first issue in April 1988, remains the only periodical to focus exclusively on the practice and process of securities/commodities arbitration. It reports on developments, rule changes, tactical matters, and arbitration case law, Vol. 2012, No. 6, May , Available at SSRN: https://ssrn.com/abstract=2708028

George Friedman (Contact Author)

Fordham University School of Law ( email )

150 West 62nd Street
New York, NY 10023
United States

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