Proposed Rule Change will Amend the Uniform Submission Agreement

Financial Industry Regulatory Authority, Inc. ("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 the Uniform Submission Agreement ("USA"), which parties must sign prior to entering into arbitration, and other rules of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code") that contain references to the agreement.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 77.22 KB
Exhibit 5 to Proposed Rule ChangePDF - 23.34 KB
Federal Register NoticePDF - 59.45 KB
Extension No. 1PDF - 23.44 KB
Extension No. 2PDF - 19.51 KB
Response to CommentsPDF - 42.67 KB
Approval OrderPDF - 65.73 KB