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Comments Period Ends: Proposal to Merge FINRA Dispute Resolution Subsidiaries
November 3, 2015
The SEC comment period ends November 3, 2015 on FINRA’s proposal to merge its dispute resolution subsidiaries, FINRA Dispute Resolution, Inc. into and with its regulatory subsidiary, FINRA Regulation, Inc. FINRA’s existing dispute resolution program would continue to operate as a separate department within FINRA Regulation, and would be referred to as the Office of Dispute Resolution.
For more information, see Regulatory Notice 15-34 and the Federal Register Notice