Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes

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 various rules of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (collectively “Codes”) to correct typographical errors and implement other non-substantive technical changes.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 139.15 KB
Notice of Filing and Immediate EffectivenessPDF - 55.59 KB