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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.

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