SR-FINRA-2017-025
Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities).