Securities Law Prof Blog

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

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Saturday, November 6, 2010

SEC Posts FINRA Proposed Rule for All-Public Arbitrator Panels

The SEC posted on its website FINRA's proposed rule change to give investors the option of selecting an all-public arbitrator panel in all customers' disputes with their securities firms and associated persons.  Comments are due 21 days after publication in the Federal Register.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes

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