FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest. When respondents are no longer in business, recovery of arbitration awards against them often is unavailing. Accordingly, FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes (Code) to expand a customer’s options … Continue reading Deadline for Comments on Regulatory Notice 17-33 – Code of Arbitration→
The SEC published a proposed rule change to amend FINRA Rules 12600 and 12800 of the Code of Arbitration Procedure for Customer Disputes (''Customer Code'') and 13600 and 13800 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code," and together with the Customer Code, the ''Codes''), to amend the hearing provisions to provide … Continue reading SEC Request for Comment: Code of Arbitration Procedures→
Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a … Continue reading Proposal to Amend FINRA Rules 12214 and 13214 in effect→
