Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes

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 Rules 12601 and 12902 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and Rules 13601 and 13902 the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to clarify the applicability of the fee waiver provision of the postponement rule and to codify the hearing session fee for an unspecified damages claim heard by one arbitrator.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 206.5 KB
Federal Register NoticePDF - 55.43 KB
Extension No. 1PDF - 23.39 KB
Response to CommentsPDF - 42.39 KB
Approval OrderPDF - 58.64 KB