John Walsh

John Walsh

Eversheds Sutherland (US) LLP

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FINRA Provides New Carve-Out Provisions to Include in Settlement and Confidentiality Agreements

Financial Industry Regulatory Authority (FINRA) Member Firms have new language to include in their settlement and confidentiality agreements. On October 9, FINRA released Regulatory Notice (RN) 14-40, warning that firms are...more

10/16/2014  /  Arbitration Agreements , Carve Out Provisions , Confidentiality Agreements , Financial Industry Regulatory Authority (FINRA) , Settlement
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