Regulatory Notice 24-03

Summary

FINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims, motion practice, claim and case dismissals, and providing a hearing record. The amendments are effective for arbitration cases filed on or after March 4, 2024.

2023078620902 Linda Chan CRD 5027783 AWC vr (2024-1709425196712).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078620902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Linda Chan (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5027783 Pursuant to FINRA Rule 9216, Respondent Linda Chan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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