Reg BI Makes FINRA’s Top Customer Arb List, a First
July 19, 2022 by Melanie Waddell
Arbitration cases related to the Securities and Exchange Commission’s Regulation Best Interest have, for the first year, made the Financial Industry Regulatory Authority’s top dispute resolution list.
Through May 2022, breach of Reg BI comes in at No. 14 on FINRA’s most recent dispute resolution statistics under the category Top 15 Controversy Types in Customer Arbitrations.