Notice Rule

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

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Title
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists
Release Number
34-100204
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 149.84 KB)
Exhibit 5

Title
Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists
Release Number
34-101449
SEC Issue Date

Resources

Order Rule: SEC Issued Version (pdf 165.53 KB)

Last Reviewed or Updated: Oct. 28, 2024