Will Murphy Comment On Regulatory Notice 26-06
A. Forum Selection
A(i) Customer Disputes
A(i).1. Should certain categories of claims (e.g., of a certain complexity or value) or customer dispute types (e.g., those involving institutional customers or holders of institutional accounts) be subject to different requirements under FINRA rules?
a. Should certain categories of claims or customer dispute types be subject to different procedural requirements under FINRA rules? What customer protection and fairness considerations should be evaluated?