Posts tagged FINRA Rule 12100(u) of the Customer Code.
On February 26, 2015, the Securities and Exchange Commission ("SEC") approved a rule proposed by the Financial Industry Regulatory Authority, Inc. ("FINRA"). The rule, originally proposed by FINRA on June 17, 2014, amends FINRA Rule 12100(p) of the Code of Arbitration Procedure for Customer Disputes and FINRA Rule 13100(p) of the Code of Arbitration Procedure for Industry Disputes defining the term "non-public arbitrator" and FINRA Rule 12100(u) of the Customer Code and FINRA Rule 13100(u) of the Industry Code defining the term "public arbitrator." The proposed rule change was ...
Tags: Financial Industry Regulatory Authority, finra, FINRA Rule 12100(u) of the Customer Code, FINRA Rule 13100(u) of the Industry Code, Public Arbitrator, Public Arbitrator Rule, Rule 12100(p)(3), Rule 13100(p) of the Code of Arbitration Procedure for Industry Disputes, SEC, Securities Exchange Commission