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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-2010-036September 20, 2010 in Other Regulatory Action | Permalink
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