Dispute Resolution Rule Filings

SR-FINRA-2018-003

SR-FINRA-2018-003 — Tue, 01/30/2018 - 12:00

Proposed Rule Filing Relating to Simplified Arbitration

SR-FINRA-2018-012

SR-FINRA-2018-012 — Wed, 02/21/2018 - 12:00

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 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to eliminate the $400 fee for an explained decision.

SR-FINRA-2017-025

SR-FINRA-2017-025 — Tue, 07/11/2017 - 12:00

Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator

SR-FINRA-2017-009

SR-FINRA-2017-009 — Wed, 04/26/2017 - 12:00

Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration

SR-FINRA-2016-033

SR-FINRA-2016-033 — Fri, 08/12/2016 - 12:00

Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration

SR-FINRA-2016-030

SR-FINRA-2016-030 — Wed, 08/03/2016 - 12:00

Proposed Rule Change Relating to Motions to Dismiss in Arbitration

SR-FINRA-2016-029

SR-FINRA-2016-029 — Wed, 07/27/2016 - 12:00

Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation

SR-FINRA-2016-022

SR-FINRA-2016-022 — Fri, 07/01/2016 - 12:00

Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.

SR-FINRA-2016-015

SR-FINRA-2016-015 — Tue, 05/03/2016 - 12:00

Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.

SR-FINRA-2015-034

SR-FINRA-2015-034 — Tue, 09/29/2015 - 12:00

Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.