SEC Approves Amendments to Codes of Arbitration Procedure Protecting Personal Confidential Information (FINRA Reg. Notice 14-27)

FINRA issued a regulatory notice regarding the SEC approval of amendments to the FINRA Customer and Industry Codes of Arbitration Procedure. The amendments provide that any document filed with FINRA that contains an individual's Social Security number, taxpayer identification number or financial account number must be redacted to include only the last four digits of these numbers.

According to the regulatory notice, the amendments are effective on July 28, 2014 for all documents filed with FINRA on or after the effective date.

The text of the amendments is provided in the regulatory notice.

See: FINRA Reg. Notice 14-27. Related news: FINRA Files Amendment and SEC Approves Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution (Fed. Reg.) (June 3, 2014); FINRA Proposes to Protect Personal Confidential Information in Documents Filed with FINRA Dispute Resolution (February 13, 2014).