Regulatory Notice 18-21
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
FINRA has amended its rules to provide a new option for simplified arbitration. The amendments provide an additional hearing option for parties in arbitration with claims of $50,000 or less, excluding interest and expenses.
The amendments are effective September 17, 2018.
The text of the amendments is set forth in Attachment A.
Questions concerning this Notice should be directed to: