Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the By-Laws of FINRA Dispute Resolution, Inc. (By-Laws) to clarify that services provided by mediators, when acting in such capacity and not representing parties in mediation, should not cause the individuals to be classified  as Industry Members under the By-Laws.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 75.87 KB
Federal Register NoticePDF - 198.57 KB
Extension No. 1PDF - 26.02 KB
Approval OrderPDF - 201.52 KB