Comments on FINRA Rulemaking

Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Notice of Filing of Proposed Rule Change Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-72196 Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution, Inc., Washington, District of Columbia
Public Comment 34-72196 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York
Public Comment 34-72196 Andrea Seidt, President, North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner, Washington, District of Columbia
Public Comment 34-72196 Ellen Liang, Student Intern; Elissa Germaine, Supervising Attorney; and Jill Gross, Director; Pace Investor Rights Clinic, White Plains, New York
Public Comment 34-72196 Jason Doss, President, PIABA, Norman, Oklahoma
Public Comment 34-72196 Richard P. Ryder, Esquire, President, Securities Arbitration Commentator, Inc., Maplewood,, New Jersey
Public Comment 34-72196 Guillermo Gleizer, Esq., New York, New York
Public Comment 34-72196 Nicole G. Iannarone, Assistant Clinical Professor, and Patricia Uceda, Student Intern, Investor Advocacy Clinic, Georgia State University College of Law
Public Comment 34-72196 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
Public Comment 34-71534 Jenice L. Malecki, Malecki Law
Public Comment 34-71534 Mignon McLemore, Assistant Chief Counsel, Financial Industry Regulatory Authority, Inc. Dispute Resolution, Washington, District of Columbia
Public Comment 34-71534 Elissa Germaine, Supervising Attorney, and Michelle N. Robinson, Student Intern, Pace Investor Rights Clinic, Pace Law School, White Plains, New York
Public Comment 34-71534 Richard P. Ryder, Esquire, President, Securities Arbitration Commentator, Inc., Maplewood, Nebraska
Public Comment 34-71534 Ryan Jennings, Christian Corkery, and Daniel Coleman, Legal Interns, St. John's University School of Law Securities Arbitration Clinic, Queens, New York
Public Comment 34-71534 Nicole G. Iannarone, Esq., Assistant Clinical Professor, Georgia State University College of Law Investor Advocacy Clinic, Atlanta, Georgia
Public Comment 34-71534 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment 34-71534 William D. Nelson, Partner, Lewis Roca Rothgerber LLP
Public Comment 34-71534 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
Public Comment 34-71534 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York
Public Comment 34-71534 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma
Public Comment 34-71534 Gary Berne, Stoll Berne

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-005
Release Number
34-72196
34-71534
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