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SR-FINRA-2026-017
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to make changes to certain provisions relating to arbitrator list selection.
23-00093(2).pdf
other
ROCKEFELLER FINANCIAL LLC
Information
- Reporter ID
- ROCK
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/rock/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-11-2026 | https://public.s3.com/rule605/rock/ |