Securities Law Prof Blog

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

Wednesday, April 6, 2011

SEC Approves Changes to FINRA Discovery Guide

The SEC approved a proposed rule change filed by FINRA making amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes.  Publication is expected in the Federal Register during the week of April 4, 2011.

SEC Action, Securities Arbitration | Permalink

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