SR-FINRA-2007-021

The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals

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 NASD Rules 12206 and 12504 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and NASD Rules 13206 and 13504 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") by providing specific procedures that will govern motions to dismiss, and amending the provision of the eligibility rule related to dismissals.

DateTitleFormat - SizeStatus
11/2/2007Text of Proposed Rule ChangePDF - 142.73 KB
12/11/2008Extension No. 6PDF - 23.41 KB
12/11/2008Approval OrderPDF - 108.76 KB
2/13/2008Amendment No. 1 to Proposed Rule ChangePDF - 143.93 KB
2/13/2008Federal Register NoticePDF - 87.24 KB
4/15/2008Extension No. 1PDF - 23.67 KB
4/15/2008Extension No. 2PDF - 19.39 KB
8/12/2008Extension No. 3PDF - 23.44 KB
9/15/2008Response to CommentsPDF - 83.25 KB
10/14/2008Extension No. 4PDF - 23.45 KB
11/10/2008Extension No. 5PDF - 19.5 KB