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Federal Register: SEC Approves FINRA Amendments to Code of Arbitration Procedures

The SEC approved a FINRA proposal to amend Rule 12403 of the Code of Arbitration Procedure for Customer Disputes by increasing the number of public arbitrators on lists provided by FINRA. The final amendments were published in the Federal Register.

Primary Sources

  1. SEC Approval (81 FR 64564)

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Tags

Regulated Activities
Arbitration / Litigation
Sub-Activity
Arbitration Procedures
Regulated Entities
Broker-Dealers Regulatory Agencies
Sub-Entity
Securities SROs
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA