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Articles Posted in FINRA Rule 13201

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FINRA ENDS MANDATORY ARBITRATION FOR CLAIMS OF SEXUAL HARASSMENT OR SEXUAL ASSAULT

On July 15, 2022, FINRA filed Regulatory Notice 22-15 and announced the amendment of its Code of Arbitration for Industry Disputes to conform to the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021, Pub. L. No. 117-90, 136 Stat. 26 (2022).  The amendments permit person with…

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