Skip to main content
SR-FINRA-2009-003

Proposed Rule Change to Amend the Customer and Industry Codes

Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) 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") (collectively "Codes") to insert rule language from the Code of Arbitration Procedure ("old Code") that was inadvertently omitted, to correct inaccurate cross-references, to codify current practices concerning the administration of existing rules, and to correct typographical errors.

Title Format - Size Status
Text of Proposed Rule Change PDF - 92.5 KB
Notice of Filing and Immediate Effectiveness PDF - 63.39 KB