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.

DateTitleFormat - SizeStatus
3/4/2009Text of Proposed Rule ChangePDF - 79.35 KB
4/8/2009Amendment No. 1 to Proposed Rule ChangePDF - 171.23 KB
5/4/2009Federal Register NoticePDF - 64.4 KB
6/15/2009Approval OrderPDF - 55.19 KB