Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration

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Date Received
Date Letter Type Commenter Name
Public Comment Margo Hassan, Associate Chief Counsel, FINRA
Public Comment Bev Kennedy, Oakville Ont, Canada
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute, Inc.
Public Comment Hugh D. Berkson, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment Thomas E. Wall, Attorney at law, Rancho Palos Verdes, California
Public Comment Kevin Carroll, Managing Director and Associate General Counsel, SIFMA
Public Comment James L. Komie, Schuyler, Roche & Crisham, P.C., Chicago, Illinois
Public Comment George H. Friedman, Adjunct Professor of Law, Fordham Law School, New York, New York
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
Public Comment Leonard Steiner, Steiner & Libo PC, Beverly Hills, California

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2016-015
Release Number
34-77844
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