SR-FINRA-2008-005

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.

DateTitleFormat - SizeStatus
2/7/2008Text of Proposed Rule ChangePDF - 63.14 KB
3/25/2008Federal Register NoticePDF - 69.2 KB
6/19/2008Response to Comments and Amendment No. 1 to Proposed Rule ChangePDF - 39.67 KB
10/14/2008Approval OrderPDF - 61.54 KB