Proposed Rule Change to Amend the Customer and Industry Codes

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 Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (collectively "Codes") to insert rule language from the Code of Arbitration Procedure ("old Code") that was inadvertently omitted, to correct inaccurate cross-references, to codify current practices concerning the administration of existing rules, and to correct typographical errors.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 92.5 KB
Notice of Filing and Immediate EffectivenessPDF - 63.39 KB