Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Customer and Industry Codes of Arbitration Procedure to provide that any document that a party files with FINRA which contains an individual's Social Security number, taxpayer identification number or financial account number must be redacted to include only the last four digits of any of these numbers. The proposed amendments would apply only to documents filed with FINRA. They would not apply to documents that parties exchange with each other or submit to the arbitrators at a hearing on the merits. In addition, the amendments would not apply to cases administered under the Simplified Arbitration rules.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 89.24 KB
Federal Register NoticePDF - 208.08 KB
Extension No. 1PDF - 54.06 KB
Amendment No. 1 and Response to CommentsPDF - 56.47 KB
Notice of Filing and Approval OrderPDF - 219.72 KB