BD- Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4

The Broker-Dealer Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4 serves as an important part of a firm’s overall compliance with amended FINRA Rule 2263 to incorporate the language in new FINRA Rule 13201(c) into the written statement a member firm must provide to an associated person regarding the predispute arbitration clause in Form U4.  The disclosure document allows firms to document their disclosure processes to assist firms in addressing certain regulatory focal points often highlighted during the FINRA examination process.

Version/Update: V.1/October 11, 2022

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien