Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution's Party Portal and to Permit Mediation Parties to Use the Portal

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Date Received
Date Letter Type Commenter Name
Public Comment Margo A. Hassan, Associate Chief Counsel, FINRA, New York, New York
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Hugh D. Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment Nicole G. Iannarone, Assistant Clinical Professor, and Michael F. Williford, Student Intern;Investor Advocacy Clinic, Georgia State University College of Law
Public Comment David Lagziel, CEO, Conflicteam
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
File Number
SR-FINRA-2016-029
Release Number
34-78549
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