Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents

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Date Received
Date Letter Type Commenter Name
Public Comment Kristine Vo, Principal Counsel, FINRA Office of Dispute Resolution
Public Comment Nicole Gail Iannarone, Director, Investor Advocacy Clinic, et al., Georgia State University College of Law
Public Comment William A. Jacobson, Clinical Professor of Law, and Director, Cornell Securities Law Clinic, and Saqeef Ahmad, Cornell Law School '20
Public Comment Christine Lazaro, President, Public Investors Arbitration Bar Association (PIABA)
Public Comment Steven B. Caruso, Maddox Hargett Caruso, P.C.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2019-004
Release Number
34-85063
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