SR-FINRA-2014-005
Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 12104 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13104 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (together, "Codes) to broaden arbitrators' authority to make referrals during an arbitration proceeding.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 171.85 KB | |
| Federal Register Notice | PDF - 234.41 KB | |
| Extension No. 1 | PDF - 60.55 KB | |
| Response to Comments | PDF - 184.19 KB | |
| Amendment No. 1 and Response to Comments | PDF - 106.03 KB | |
| Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings | PDF - 208.48 KB | |
| Extension No. 2 | PDF - 26.22 KB | |
| Response to Comments No. 2 | PDF - 121.34 KB | |
| Approval Order | PDF - 216.86 KB |