Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes

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Date Received
Date Letter Type Commenter Name
Public Comment Scot Bernstein, Law Offices of Scot D. Bernstein, Mather Field, California
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
Public Comment Brian N. Smiley, Esquire, President, Public Investors Arbitration Bar Association, Atlanta, Georgia
Public Comment Joseph M. Licare, St. John's University School of Law, Securities Arbitration Clinic, Jamaica, New York
Public Comment Seth E. Lipner, Professor of Law, Zicklin School of Business, Baruch College, CUNY Member, Deutsch Lipner, Garden City, New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-013
Release Number
34-59672
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