FINRA - Arbitration & Mediation

Home > Arbitration & Mediation > FINRA Dispute Resolution > Rule Filings & Guidance > 2008 Rule Filings
Printer-Friendly 2008 Dispute Resolution Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission (SEC), with the exception of certain limited types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 (Exchange Act). In addition, some rule filings may be followed by amendments that modify the original filing. If a rule has been approved, the approval order will be found at the end of the link to the rule filing and amendments.

These documents are available as Portable Document Format (PDF) files. If you do not have the Adobe^® Acrobat Reader to view PDF files, please download the free plug-in. PDF items will open in a new browser window.

SR‑FINRA‑2008‑010	Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief
SR‑FINRA‑2008‑009	Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
SR‑FINRA‑2008‑005	Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances

FINRA Dispute Resolution

2008 Dispute Resolution Rule Filings