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FINRA Rule 13402 (b) currently provides for disputes between associated persons or between associated persons and members that only a public arbitrator may serve as chairperson.
It is respectfully submitted that qualified nonpublic arbitrators should also be permitted to fill the chairperson position in such cases.
FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
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David Reich Comment On Regulatory Notice 26-06
FINRA Rule 13402 (b) currently provides for disputes between associated persons or between associated persons and members that only a public arbitrator may serve as chairperson.
It is respectfully submitted that qualified nonpublic arbitrators should also be permitted to fill the chairperson position in such cases.