Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 13201 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) to align the rule with statutes that invalidate predispute arbitration agreements for whistleblower claims.  The proposed rule change also would make a conforming amendment to FINRA Rule 2263.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 62.59 KB
Federal Register NoticePDF - 144.66 KB
Extension No. 1PDF - 25.94 KB
Response to CommentsPDF - 97.57 KB
Approval OrderPDF - 198.24 KB