Comments on FINRA Rulemaking

Notice of Filing of a 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

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Date Received
Date Letter Type Commenter Name
Public Comment Mignon McLemore, Assistant General Counsel, FINRA
Public Comment Richard P. Ryder, Esquire, President, SAC, Inc.
Public Comment Christine Lazaro, Director of the Securities Arbitration Clinic, St. John's University School of Law
Public Comment Christopher Gerold, President & Chief, New Jersey Bureau of Securities, North American Securities Administrators Association (NASAA),
Public Comment Dochtor D. Kennedy, President & Founder, AdvisorLaw, LLC
Public Comment Robin M. Traxler, Esq., Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute (FSI)
Public Comment Sam Edwards, President, Public Investors Arbitration Bar Association (PIABA)
Public Comment Steven B. Caruso, Maddox Hargett Caruso, P.C.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2020-005
Release Number
34-88251
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