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Proposed Rule Change to Amend the Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to revise and restate the qualifications for representatives in arbitrations and mediations.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 18.4 MB
Federal Register Notice PDF - 579.54 KB
Extension No. 1 PDF - 1.78 MB
Response to Comments No. 1 PDF - 153.27 KB
Approval Order PDF - 164.49 KB
Notice of Review and Stay PDF - 237.67 KB
Order Scheduling Filing of Statements PDF - 126.09 KB
Statement in Support of Proposed Rule Change PDF - 214.95 KB