Financial
Industry Regulatory Authority (FINRA)*
Pursuant to Phlx Rule 950, Section 44, the Exchange has outsourced
its arbitration and mediation program to FINRA Dispute Resolution.
To remain in compliance with Section 36 of the Securities and
Exchange Act of 1934 and Rule O-12, the PHLX is providing a link
to the FINRA
Dispute Resolution website for your convenience.
This link will enable you to stay informed of any changes that
may occur on the FINRA’s Code of Arbitration Procedure as
well as to review any submissions by FINRA along with the corresponding
SEC notices. You may also review all Dispute Resolution Approval
Orders from this site by checking the sidebar at left.
For your convenience, you may check this page in order to view
any proposed or approved FINRA submissions published by the SEC.
Written notice to members will be provided whenever any changes
are posted on the FINRA Dispute Resolution Rule Filing Page.
*As of July 30, 2007, NASD is now known as
Financial Industry Regulatory Authority (FINRA) and new rule proposals
will be listed under FINRA on the SEC website.
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