Khung pháp lýCâu 377 / 398
A customer and a member firm have a monetary dispute arising from the customer's account. The customer signed an account agreement containing a predispute arbitration clause. The dispute will most likely be resolved through:
a.A jury trial in federal court
b.Mediation binding on both parties
c.An SEC administrative hearing
d.FINRA arbitration under the Code of Arbitration Procedure
Giải thích
Most customer-firm disputes are resolved through FINRA's Dispute Resolution forum under the Code of Arbitration Procedure, especially when a predispute arbitration agreement exists. Arbitration decisions are generally final and binding with very limited grounds for appeal. Mediation is voluntary and non-binding unless a settlement is reached.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- MSRB Rule G-37 addresses political contributions by municipal securities dealers. What is the primary consequence if a dealer's covered associate makes a disqualifying political contribution to an official of an issuer?
- A person applying for registration in the securities industry was convicted of a securities-related felony four years ago. This individual is most likely:
- Before a person can be fingerprinted and registered as an associated person, fingerprinting is required primarily to:
- FINRA's Code of Procedure (the Rule 8000 and 9000 series) primarily governs:
- A registered representative changes her residential address and also is charged with a felony. Which of these events requires an amendment to her Form U4?
- Which of the following best describes the jurisdiction of the Chicago Board Options Exchange (CBOE) as a self-regulatory organization?
Cập nhật gần nhất: · quy trình kiểm tra
Đội Ngũ Biên Tập PrepPass · Đối chiếu với FINRA Securities Industry Essentials (SIE) Exam · Quy trình kiểm tra