Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas

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Date Received
Date Letter Type Commenter Name
Public Comment Jill I. Gross, Director; Edward Pekarek, Esq., Assistant Director; Kristen Mogavero, Law Graduate Assistant; and Alex Kalb, Student Intern; Investor Rights Clinic, Pace Law School, White Plains , New York
Public Comment Ryan K. Bakhtiari, President, Public Investors Arbitration Bar Association
Public Comment Shane Malone, Javier Merino, and Jonathan Weiss, Student Interns; Lisa A. Catalano, Director, Associate Professor of Clinical Legal Education; Christine Lazaro, Supervising Attorney, Securities Arbitration Clinic, St. John's University School of Law, Queens, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2012-041
Release Number
34-67803
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