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Proposed Rule Change to Amend the Codes of Arbitration Procedure

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to make various clarifying and technical changes to the Codes, including in response to recommendations in the report of independent counsel Lowenstein Sandler LLP.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 3.16 MB New
Federal Register Notice PDF - 556 KB