SR-FINRA-2022-024
Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process relating to the Expungement of Customer Dispute Information
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 modify the current process relating to the expungement of customer dispute information.
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 2.8 MB | |
| Federal Register Notice | PDF - 1.86 MB | |
| Extension No. 1 | PDF - 1.82 MB | |
| Response to Comments | PDF - 298.61 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 1.95 MB | |
| Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 278.83 KB | |
| Extension No. 2 | PDF - 1.74 MB | |
| Response to Comments No. 2 | PDF - 234.42 KB | |
| Amendment No. 2 to the Proposed Rule Change | PDF - 1.93 MB | |
| Approval Order | PDF - 313.48 KB |