Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Friday, November 23, 2007

New FINRA Rule on Representation of Parties

The SEC approved FINRA's rule change that clarifies the issue of representation of parties in FINRA dispute resolution proceedings.  The rule provides for pro se representation.  In addition, parties may be represented by attorneys in good standing and admitted to practice in any jurisdiction, unless state law prohibits it.  In addition, non-attorney representatives (NARs) may represent parties unless state law prohibits it, the person is suspended or barred from the securities industry, or the person is suspended or disbarred from the practice of law.

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