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
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: Suggested Citation