SR-FINRA-2016-029
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
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).