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
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission a proposed rule change to adopt Rule 12905 of the Code of Arbitration Procedure for Customer Disputes and Rule 13905 of the Code of Arbitration Procedure for Industry Disputes to permit submissions to arbitrators after a case has closed only under the following circumstances: (1) as ordered by a court; (2) at the request of any party within 30 days of service of an award or notice that a matter has been closed, for ministerial matters; or (3) if all parties agree and submit documents within 30 days of service of an award or notice that a matter has been closed.
|Title||Format - Size||Status|
|Text of Proposed Rule Change||PDF - 63.14 KB|
|Federal Register Notice||PDF - 69.2 KB|
|Response to Comments and Amendment No. 1 to Proposed Rule Change||PDF - 39.67 KB|
|Approval Order||PDF - 61.54 KB|