Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility 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 Nicole G. Iannarone, Assistant Clinical Professor, and Geoffrey R. Hafer, Student Intern, Investor Advocacy Clinic, College of Law, Georgia State University
Public Comment Hugh Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2016-033
Release Number
34-78729
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