Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator

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 12100 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rule 13100 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code” and together, “Codes”), to define a non-public arbitrator to mean a person who is otherwise qualified to serve as an arbitrator, and is disqualified from service as a public arbitrator under the Codes.

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 81.65 KB
Federal Register NoticePDF - 216.23 KB
Response to CommentsPDF - 30.69 KB
Approval OrderPDF - 230.89 KB