Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Establish New Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief

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Date Received
Date Letter Type Commenter Name
Public Comment Margo A. Hassan, Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment William A. Jacobson, Esq., Associate Clinical Professor, Cornell Securities Law Clinic
Public Comment Margo A. Hassan, Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment Laurence S. Schultz, President, Public Investors Arbitration Bar Association
Public Comment Brian N. Smiley, Partner, Smiley Bishop Porter LLP, Atlanta, Georgia
Public Comment Barry D. Estell, Mission, Kansas
Public Comment Barbara Black, Charles Hartsock Professor of Law, Director of Corporate Law Center, University of Cincinnati
Public Comment Karen Tyler, President of the North American Securities Administrators Association and North Dakota Commissioner, Washington, District of Columbia
Public Comment Scott R. Shewan, Born, Pape Shewan, LLP, Clovis, California
Public Comment William A. Jacobson, Esq., Associate Clinical Professor, Director, Cornell Securities Law Clinic, Cornell Law School
Public Comment Raghavan Sathianathan
Public Comment Jill Gross, Director, Pace Investor Rights Clinic
Public Comment Seth E. Lipner, Professor of Law, Bernard M. Baruch College, CUNY Member, Deutsch Lipner, Garden City, N.Y., New York, New York
Public Comment Steven B. Caruso, Maddox Hargett Caruso, P.C., New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2008-010
Release Number
34-57572
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