Proposed Rule Change to Amend the Industry Code to Change the Criteria for Determining the Panel Composition When the Claim Involves an Associated Person in Industry Disputes

The 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 Industry Disputes (“Industry Code”) to change the criteria for determining the panel composition when the claim involves an associated person in industry disputes.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 79.35 KB
Amendment No. 1 to Proposed Rule ChangePDF - 171.23 KB
Federal Register NoticePDF - 64.4 KB
Approval OrderPDF - 55.19 KB