Proposed Rule Change to Amend Rules 12602 and 13602 of the Customer and Industry Codes to Provide for Attorney Representation of Non-Party Witnesses in Arbitration

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 Rule 12602 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and Rule 13602 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to provide that a non-party witness may be represented by an attorney at an arbitration hearing while the witness is testifying.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 59.27 KB
Federal Register NoticePDF - 59.64 KB
Extension No. 1PDF - 23.58 KB
Response to CommentsPDF - 92.36 KB
Extension No. 2PDF - 23.34 KB
Extension No. 3PDF - 23.67 KB
Amendment No. 1 to Proposed Rule ChangePDF - 37.71 KB
Extension No. 4PDF - 23.01 KB
Approval OrderPDF - 58.09 KB