Regulatory Notice 17-03

SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal

Effective Date: April 3, 2017

Executive Summary

The Securities and Exchange Commission (SEC) approved amendments to the Customer and Industry Codes of Arbitration Procedure (Codes) to require all parties, except customers who are not represented by an attorney or other person (pro se customers), to use the FINRA Office of Dispute Resolution’s Party Portal (Party Portal) to file initial statements of claim and to file and serve most pleadings and other documents on FINRA or any other party. FINRA is also amending the Code of Mediation Procedure (Mediation Code) to permit mediation parties to agree to use the Party Portal to submit and retrieve all documents and other communications.

The amendments are effective for all cases filed on or after April 3, 2017.

The text of the amended rules is available on FINRA’s website.

Questions concerning this Notice should be directed to:

  • Todd Saltzman, Vice President, Director of Case Administration, Operations, and Neutral Management, FINRA Office of Dispute Resolution, at (212) 858-4273
  • James Schroder, Associate Vice President, FINRA Office of Dispute Resolution, at (212) 858-4321

Related Documents: 

DateTitleFormat - Size
1/3/2017Attachment APDF - 238.89 KB