Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Antitrust, and UK/Brexit/EU Developments

BROKER-DEALER -

FINRA Proposes Rule Change To Provide Additional Hearing Options for Parties in Certain Arbitrations -

On January 30, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to adopt amendments to FINRA Rules 12600 and 12800 of the Code of Arbitration Procedures for Customer Disputes (Customer Code) and FINRA Rules 13600 and 13800 of the Code of Arbitration Procedure for Industry Disputes (Industry Code).

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