March 4, 2012

SEC Seeks Public Comment on Two FINRA Dispute Resolution Rule Proposals

By Jill Gross

The SEC has published two requests for public comment on proposals to amend two separate FINRA Dispute Resolution procedural rules. The SEC’s first request for comment on a FINRA rule change proposal to raise the monetary threshold for Simplified Arbitration cases from $25,000 to $50,000. See the Federal Register Notice here. Comments are due by March 20, 2012.

The second request for comment is from the SEC on a FINRA rule change proposal to give the Director of Mediation discretion to decide whether parties can select a mediator not on FINRA’s roster. The Federal Register Notice is available here. Comments are due March 20, 2012.

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