Proposed Rule Change to Amend FINRA's Mediation Code to Provide the Director of Mediation with the Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA's Mediator Roster

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 14107 of the Code of Mediation Procedure (“Mediation Code”) to provide the Director of Mediation (“Mediation Director”) with discretion to determine whether parties to a FINRA mediation may select a mediator who is not on FINRA’s mediator roster.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 57.61 KB
Federal Register NoticePDF - 153.13 KB
Extension No. 1PDF - 25.9 KB
Response to CommentsPDF - 122.02 KB
Approval OrderPDF - 207.15 KB