Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions to Dismiss in Arbitration

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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 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
File Number
SR-FINRA-2016-030
Release Number
34-78553
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