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Does an arbitration case or claim filed against me with the Financial Industry Regulatory Authority (formerly the National Association of Securities Dealers, Inc.) require disclosure?

Failure to pay a futures-related arbitration award requires disclosure under Form 8-R, Disciplinary Information — Financial Disclosures, Question J. If any component of the unpaid award is related to futures transactions it requires disclosure regardless of where the case was heard. Otherwise, pending, adjudicated, settled or dismissed arbitration matters do not need to be disclosed.

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