Letters

FINRA RN 17-34

Summary

SIFMA provided comments to FINRA on Notice 17-34. Notice 17-34 requests comment on whether FINRA should continue to permit compensated non-attorney representativesto represent customer claimants in securities arbitration and mediation. In the interests of investor protection and the integrity of the arbitral forum SIFMA recommends that FINRA henceforth prohibit CNAR firms from representing customer claimants.

PDF

Submitted To

FINRA

Submitted By

SIFMA

Committee

Arbitration Committee

Date

15

December

2017