Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt Rule 12805 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13805 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") to establish new procedures that arbitrators must follow when considering requests for expungement relief under Rule 2130.

DateTitleFormat - SizeStatus
3/13/2008Text of Proposed Rule ChangePDF - 70.65 KB
9/25/2008Extension No. 5PDF - 19.47 KB
11/6/2008Approval OrderPDF - 73.2 KB
4/3/2008Federal Register NoticePDF - 68.43 KB
5/1/2008Extension No. 1PDF - 23.42 KB
6/11/2008Response to CommentsPDF - 46.28 KB
6/18/2008Extension No. 2PDF - 19.36 KB
7/30/2008Extension No. 3PDF - 27.41 KB
8/28/2008Extension No. 4PDF - 19.6 KB
9/4/2008Supplemental Response to CommentsPDF - 50.28 KB