SR-FINRA-2022-033
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 | |
| Federal Register Notice | PDF - 556 KB | |
| Extension No. 1 | PDF - 1.78 MB | |
| Response to Comments No. 1 | PDF - 235.3 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 1.91 MB | |
| Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 155.51 KB | |
| Extension No. 2 | PDF - 1.94 MB | |
| Response to Comments No. 2 | PDF - 194.86 KB | |
| Approval Order | PDF - 278.68 KB |