Second Circuit Tackles “Nexus” Issue Under FINRA’s Arbitrability Rule

The arbitration rules of America’s Financial Institutions Regulatory Authority (FINRA) present a special, and sui generis, but economically significant, species of arbitrability controversies. FINRA, as successor to the National Association of Securities Dealers (NASD) is the self-regulatory organization of the securities industry. Established pursuant to the federal securities laws, FINRA rules provide that member firms […]