Other Rule Filings Incorporated by Reference

FINRA Rule Filings to Amend FINRA Code of Arbitration

SR-FINRA-2022-033: Proposal to amend FINRA arbitration rules.
SR-FINRA-2022-024: Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process relating to the Expungement of Customer Dispute Information
SR-FINRA-2020-035: Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees.
SR-FINRA-2020-030: Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests.
SR-FINRA-2020-005: Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
SR-FINRA-2019-030: Proposed Rule Change to Amend the Membership Application Program (“MAP”) Rules to Address the Issue of Pending Arbitration Claims.
SR-FINRA-2018-026: Proposes rule change to amend FINRA Rule 12214 and 13214 to provide that FINRA will pay each arbitrator a $200 honorarium to decide without a hearing session a contested subpoena request or a contested order for production or appearance.
SR-FINRA-2017-009: Proposed rule change to amend the Customer and Industry Codes to provide that the ODR Director will send the list or lists generated by the Neutral List Selection System to all parties at the same time, within approximately 30 days after the last answer is due, regardless of the parties’ agreement to extend any answer due date.
SR-FINRA-2016-033: Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
SR-FINRA-2016-030: Proposed Rule Change Relating to Motions to Dismiss in Arbitration
SR-FINRA-2016-029: Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
SR-FINRA-2016-022: Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.
SR-FINRA-2016-015: 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: Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
SR-FINRA-2015-003 Approval Order: Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
SR-FINRA-2014-045 Notice of Filing and Immediate Effectiveness: Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2014-028 Approval Order: Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
SR-FINRA-2014-026 Approval Order: Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
SR-FINRA-2014-008 Approval Order: Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
SR-FINRA-2014-005 Approval Order: Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
SR-FINRA-2013-024: Proposed rule change to amend the Discovery Guide used in customer arbitration proceedings.Approval Order
SR-FINRA-2013-023: Proposed rule change to amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to simplify arbitrator selection in cases with three arbitrators.Approval Order
SR-FINRA-2013-003: Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition. Approval Order
SR-FINRA-2012-041: Proposed rule change to amend FINRAs Customer and Industry Codes of Arbitration Procedure relating to subpoenas and to arbitrator authority to direct appearances of associated person witnesses and production of documents without subpoenas. Approval Order
SR-FINRA-2012-012: Proposed Rule Change to Amend FINRAs Customer and Industry Codes of Arbitration Procedures to Raise the Limit for Simplified Arbitration from $25,000 to $50,000 Approval Order
SR-FINRA-2011-075: Proposed Rule Change to Amend Rule 132004 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code Approval Order
SR-FINRA-2011-067: Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration Approval Order
SR-FINRA-2011-006: Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice Approval Order
SR-FINRA-2011-005: Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes Approval Order
SR-FINRA-2010-053: Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (Customer Code), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases. Approval Order
SR-FINRA-2010-050: The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims Notice of Filing and Immediate Effectiveness
SR-FINRA-2010-035: Proposed Rule Change to Amend the Discovery Guide and to Make Other Conforming Changes to Rules in the Arbitration Codes Approval Order
SR-FINRA-2010-022 Approval Order: Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
SR-FINRA-2010-006: The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 12602 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13602 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (together, "Codes") to provide that a non-party witness may be represented by an attorney at an arbitration hearing while the witness is testifying. Approval Order
SR-FINRA-2009-075: Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes Approval Order
SR-FINRA-2009-073: Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding Approval Order
SR-FINRA-2009-072: Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected Approval Order
SR-FINRA-2009-041: Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim. Approval Order
SR-FINRA-2009-026: The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend various rules of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (collectively "Codes") to correct typographical errors and implement other non-substantive technical changes. Notice of Filing and Immediate Effectiveness
SR-FINRA-2009-015: The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") to establish procedures to expedite the administration of promissory note cases; and amend Rules 13214 and 13600 of the Industry Code to make conforming changes.Approval Order
SR-FINRA-2009-013: The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rules 12206 and 13206 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code"), respectively, to clarify that the rules toll the applicable statutes of limitation when a person files an arbitration claim with FINRA. Approval Order
SR-FINRA-2008-063: Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook. Notice of Filing and Immediate Effectiveness
SR-FINRA-2008-051: Proposed Rule Change to Amend Rules 12214, 12514 and 12904 of the Code of Arbitration Procedure for Customer Disputes and Rules 13214, 13514 and 13904 of the Code of Arbitration Procedure for Industry Disputes to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties. Approval Order
SR-FINRA-2008-047: Proposed Rule Change to Amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to Raise the Amount in Controversy Heard by a Single Chair-qualified Arbitrator to $100,000. Approval Order