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: Securities Law Prof Blog

FINRA Proposes Broadening Arbitrators Power to Make Disciplinary Referrals

By Securites Lawprof

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FINRA filed with the SEC a proposed rule change to amend the Codes of Arbitration Procedure to permit arbitrators to make disciplinary referrals during the course of an arbitration proceeding. Rel. No. 34-62930 ; File No. SR-FINRA-2010-036

Full post as published by Securities Law Prof Blog on September 20, 2010 (boomark / email).

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