Letters

FINRA RN 17-33

Summary

SIFMA provides comments to FINRA on Notice 17-33. Notice 17-33 requests comment on FINRA’s proposal to expand a customer’s options if a firm or associated person becomes inactive before a claim is filed or during a pending arbitration. Under these circumstances, the proposal would also allow customers to (i) withdraw a claim, (ii) amend pleadings, (iii) postpone hearings, (iv) invoke expedited default proceedings, (v) and receive a refund of filing fees.

PDF

Submitted To

FINRA

Submitted By

SIFMA

Committee

Arbitration Committee

Date

15

December

2017