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Proposed Rule Filing Relating to Simplified Arbitration

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12600 and 12800 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code” ) and 13600 and 13800 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code,” and together with the Customer Code, the “Codes”), to amend the hearing provisions to provide an additional hearing option for parties in arbitration with claims of $50,000 or less, excluding interest and expenses.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 122.58 KB
Federal Register Notice PDF - 224.44 KB
Extension No. 1 PDF - 110.22 KB
Response to Comments PDF - 40.68 KB
Approval Order PDF - 208.93 KB