Regulatory Alerts2026-03-02 | Regulatory Notice 26-06Added · Updated
FINRA Requests Comment on Modernizing FINRA Arbitration Rules, Guidance and Processes
FINRA requests public comment on modernizing its arbitration rules, guidance, and processes, specifically regarding forum selection, claim categories, and arbitrator qualifications. The notice seeks input on whether to allow contractual opt-outs for high-value or institutional disputes, modify procedural requirements for complex claims, or permit post-dispute litigation choices. Comments must be received by May 1, 2026, via online form, email, or mail.
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