Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend the Code of Arbitration Procedure for Industry Disputes to Preclude Collective Action Claims from Being Arbitrated

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Date Received
Date Letter Type Commenter Name
Public Comment Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution
Public Comment Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution
Public Comment Jill I. Gross, Director; Edward Pekarek, Assistant Director; and Genavieve Shingle, Student Intern; Investor Rights Clinic, Pace University Law School,
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-2011-075
Release Number
34-66109
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