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Deadline for Comments on Regulatory Notice 17-34 – Arbitration Procedures
December 18, 2017
FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest.
The FINRA Codes of Arbitration and Mediation Procedure permit compensated non-attorneys to represent clients in securities arbitration and mediation subject to certain exceptions. FINRA is conducting a review of the efficacy of continuing to allow such representation. The Notice outlines FINRA’s review of compensated non-attorney representatives’ (NAR firms) activities at the forum and seeks responses to questions related to forum users’ experiences with NAR firms.