Securities Law Prof Blog

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

Thursday, March 20, 2008

FINRA Proposes Two Changes to Arbitration Codes

The SEC published for public comment two minor revisions to the FINRA Codes of Arbitration Procedure for Customer and Industry Disputes:  to Amend the Chairperson Eligibility Requirements  and to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances.

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