SR-FINRA-2008-031
Proposed Rule Change will Amend the Uniform Submission Agreement
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Uniform Submission Agreement ("USA"), which parties must sign prior to entering into arbitration, and other rules of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code") that contain references to the agreement.
| Text of Proposed Rule Change | (PDF 78 KB) |
| Exhibit 5 to Proposed Rule Change | (PDF 24 KB) |
| Federal Register Notice | (PDF 55 KB) |
| Extension No. 1 | (PDF 24 KB) |
| Extension No. 2 | (PDF 20 KB) |
| Response to Comments | (PDF 39 KB) |
| Approval Order | (PDF 66 KB) |