SEC Approves FINRA Rule Clarifying Arbitration Procedure


On January 7, 2010, the Securities and Exchange Commission (“Commission”) approved an amendment filed by the Financial Industry Regulatory Authority (“FINRA”) to clarify filing date discrepancies which exist with respect to arbitration claims filed in FINRA’s arbitration forum. This amendment modifies Rule 12307 of the Code of Arbitration for Customer Disputes and Rule 13307 of the Code of Arbitration for Industry Disputes (the “Codes”).

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