FINRA Manual: Contents
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Capital Acquisition Broker Rules
200. DUTIES AND CONFLICTS
208. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System
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226. Arbitration Requirements
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
(a) Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4
All capital acquisition brokers are subject to FINRA Rule 2263.
(b) Requirements When Using Predispute Arbitration Agreements for Customer Accounts
All capital acquisition brokers are subject to FINRA Rule 2268.
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.