Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph C. Peiffer, President, Public Investors Advocate Bar Association
Public Comment Kristine Vo, Assistant General Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment Nicole G. Iannarone, Associate Professor of Law, Drexel Kline Law; Chair, FINRA National Arbitration and Mediation Committee
Public Comment St. Vincent De Paul Legal Program, Inc., Securities Arbitration Clinic, St. John's University School of Law et al.
Public Comment Alice L. Stewart, Associate Professor of Law, Legal Clinics, Director of Legal Clinics et al.
Public Comment William A. Jacobson, Esq., Clinical Professor of Law, Cornell Law School Director, Cornell Securities Law Clinic et al.
Public Comment Aleaha N. Jones, Pickard Djinis and Pisarri LLP
Public Comment David E. Robbins, Attorney and Author
Public Comment Kristine Vo, Assistant General Counsel, Office of General Counsel, FINRA
Public Comment Lynne Brundage
Public Comment Christine Lazaro, Supervising Attorney, Elizabeth Allhusen, Legal Intern, Camille Perbost, Legal Intern, and Elissa Germaine, Supervising Attorney, Securities Arbitration Clinic of St. John's University School of Law
Public Comment Joseph C. Peiffer, President, Public Investors Advocate Bar Association
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Steven B. Caruso

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2023-013
SR-FINRA-2023-013
Release Number
34-98703
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