Securities Law Prof Blog

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

A Member of the Law Professor Blogs Network

Tuesday, June 11, 2013

FINRA's Revised Definition of Public Arbitrator Effective July 1

FINRA announced that the SEC approved amendments to the definition of public arbitrator in the Customer and Industry Codes of Arbitration Procedure.  The amended definition excludes persons associated with a mutual fund or hedge fund from serving as public arbitrators and requires individuals to wait for two years after ending certain affiliations before FINRA may permit them to serve as public arbitrators.

The effective date of the amended rule is July 1, 2013.

http://lawprofessors.typepad.com/securities/2013/06/finras-revised-definition-of-public-arbitrator-effective-july-1.html

Securities Arbitration | Permalink

TrackBack URL for this entry:

http://www.typepad.com/services/trackback/6a00d8341bfae553ef0191033bf0e8970c

Listed below are links to weblogs that reference FINRA's Revised Definition of Public Arbitrator Effective July 1:

Comments

Post a comment