Αποτελέσματα Αναζήτησης
Appeal. An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under . The notice of appeal shall be filed with the Office of General Counsel of FINRA, with a copy of the notice also provided to the appropriate department or staff of FINRA.
review of disciplinary proceeding by national adjudicatory council and finra board; application for sec review 9310. Appeal to or Review by National Adjudicatory Council
Rule Filings. SR-FINRA-2022-024. Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process relating to the Expungement of Customer Dispute Information.
FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of customer dispute information.
FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of customer dispute information.
6 Ιαν 2023 · In early 2022, the law offices of Lowenstein Sandler were retained by FINRA to independently review certain aspects of FINRA Dispute Resolution Services’ (“DRS”) policies and procedures in its arbitration forum.
On this page, you will find all of the rules, scripts, templates and forms that parties and neutrals will need during the course of an arbitration or a mediation. For more information, please contact your case administrator or your regional office. Rules & Procedures. Code of Arbitration Procedure for Customer Disputes
