Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Whistleblower Claims in Arbitration

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Date Received
Date Letter Type Commenter Name
Public Comment Margo A. Hassan, Assistant Chief Counsel, FINRA Dispute Resolution, New York, New York
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2011-067
Release Number
34-65896
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