Regulatory Notice 09-74
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees; Effective Date: January 18, 2010
Effective January 18, 2010, amendments to the Customer and Industry Codes of Arbitration:
The amendments will apply to claims filed on or after the effective date.
The text of the amendments is set forth in Attachment A.
Questions concerning this Notice should be directed to:
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