Regulatory Notice 10-37

Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels

Effective Date: September 27, 2010

Executive Summary

Effective September 27, 2010, FINRA will increase the number of proposed arbitrators available for review when parties choose arbitration panels from lists generated randomly by the Neutral List Selection System (NLSS).The amendments to the Customer and Industry Codes of Arbitration Procedure (Codes) will apply to lists generated on or after the effective date. The text of the amendments is set forth in Attachment A.

 

Questions concerning this Notice should be directed to:

 

  • Richard W. Berry, Senior Vice President and Director of Case Administration and Regional Office Services, Dispute Resolution, at (212) 858-4307 or by email; or 
  • Margo A. Hassan, Assistant Chief Counsel, Dispute Resolution, at (212) 858-4481 or by email.