SR-FINRA-2023-013
Proposed Rule Change to Amend the Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to revise and restate the qualifications for representatives in arbitrations and mediations.
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 18.4 MB | |
| Federal Register Notice | PDF - 579.54 KB | |
| Extension No. 1 | PDF - 1.78 MB | |
| Response to Comments No. 1 | PDF - 153.27 KB | |
| Approval Order | PDF - 164.49 KB | |
| Notice of Review and Stay | PDF - 237.67 KB | |
| Order Scheduling Filing of Statements | PDF - 126.09 KB | |
| Statement in Support of Proposed Rule Change | PDF - 214.95 KB |