Letters

FINRA’s Arbitrator Definition

Summary

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposed rule change regarding the definitions of non-public and public arbitrator.

Related Notice:
SEC Release No. 34-72491; File No. SR-FINRA-2014-028, Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator (June 27, 2014)

PDF

Committee

Arbitration Committee

Date

25

July

2014