SR-FINRA-2016-030
Proposed Rule Change Relating to Motions to Dismiss in Arbitration
Proposed Rule Change Relating to Motions to Dismiss in Arbitration
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).