SR-FINRA-2024-008
Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Code of Arbitration Procedure for Customer Disputes (“Customer Code”) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under FINRA Rule 12800.
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 1.94 MB | |
| Federal Register Notice | PDF - 230.66 KB | |
| Extension No. 1 | PDF - 1.77 MB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 1.77 MB | |
| Response to Comments | PDF - 189.87 KB | |
| Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 217.33 KB | |
| Approval Order | PDF - 185.82 KB |