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Order Rule

Order Approving 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

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2023-013

Last Reviewed or Updated: April 12, 2024

Resources

Order Rule: SEC Issued Version (pdf 253.06 KB)

Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013

Letter from Deputy Secretary J. Matthew DeLesDernier to Kristine Vo, Assistant General Counsel, FINRA dated January 19, 2024

Details

File Number

SR-FINRA-2023-013

Rule Type

Order

Release Number

34-99335

SEC Issue Date

Jan. 11, 2024