Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution

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 By-Laws of FINRA’s dispute resolution subsidiary (“FINRA Dispute Resolution”) to: modify the composition of the FINRA Dispute Resolution Board; adopt changes to conform the FINRA Dispute Resolution By-Laws to the FINRA By-Laws; and implement other conforming changes to reflect the corporate name change and other similar matters.

DateTitleFormat - SizeStatus
1/20/2010Text of Proposed Rule ChangePDF - 195.83 KB
3/2/2010Federal Register NoticePDF - 75.94 KB
4/6/2010Extension No. 1PDF - 18.86 KB
5/5/2010Response to CommentsPDF - 33.21 KB
5/6/2010Extension No. 2PDF - 23.63 KB
6/1/2010Approval OrderPDF - 73.37 KB