Securities Law Prof Blog

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

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Monday, September 20, 2010

FINRA Proposes Broadening Arbitrators Power to Make Disciplinary Referrals

FINRA filed with the SEC a proposed rule change to amend the Codes of Arbitration Procedure to permit arbitrators to make disciplinary referrals during the course of an arbitration proceeding.  Rel. No. 34-62930 ; File No. SR-FINRA-2010-036

http://lawprofessors.typepad.com/securities/2010/09/finra-proposes-broadening-arbitrators-power-to-make-disciplinary-referrals.html

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