U.S. Equities

SEC Approval - Amended Codes of Arbitration Procedure to Add FINRA Rules 12808 and 13808 (Accelerated Processing) for Qualified Parties

SEC Approval – FINRA Rule Change to Amend the Codes of Arbitration Procedure to Make Changes to the Arbitrator List Selection Process

Order Instituting Proceedings – FINRA Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Changes to the Arbitrator List Selection Process

Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Add New FINRA Rules 12808 and 13808 (Accelerated Processing) for Qualified Parties

Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Changes to the Arbitrator List Selection Process

Proposed Rule Change to Amend the Codes of Arbitration Procedure to Add New FINRA Rules 12808 and 13808 (Accelerated Processing) for Qualified Parties

Approved Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing

Approved Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of Document Production Lists