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Change in FINRA Arbitration to Include RIAs

The Financial Industry Regulatory Authority (FINRA) is opening up its arbitration system to include registered investment advisers (RIAs). Previously, the system has been used for investor and industry complaints concerning securities firms and broker/dealers.

As reported Oct. 28 by Investment News, FINRA plans to announce the new program in the near future. Already, there are several such cases in FINRA’s system, according to Linda Fienberg, president of FINRA’s office of dispute resolution.


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