Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected

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 Rule 12307 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and Rule 13307 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to clarify the date of filing of an arbitration claim once a deficiency is corrected.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 112.3 KB
Federal Register NoticePDF - 54.19 KB
Approval OrderPDF - 56.02 KB