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 provisions of the FINRA Rule 9000 Series (Code of Procedure) and Funding Portal Rule 900 Series (Code of Procedure) that require or allow for a sanction or other regulatory measure to take effect immediately.