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SEC Committee Recommends Reforms for RIA Mandatory Arbitration Clauses

Summary by wealthmanagement.com
The commission’s Investor Advisory Committee recommended the SEC amend its advisor rules on mandatory arbitration clauses, though it didn’t ban them outright, as some investor advocates hoped.
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SEC Committee Recommends Reforms for RIA Mandatory Arbitration Clauses

The commission’s Investor Advisory Committee recommended the SEC amend its advisor rules on mandatory arbitration clauses, though it didn’t ban them outright, as some investor advocates hoped.

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wealthmanagement.com broke the news in on Friday, June 6, 2025.
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