Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP

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Date Received
Date Letter Type Commenter Name
Public Comment Anonymous
Public Comment Kristine Vo, Assistant General Counsel, Office of General Counsel, FINRA
Public Comment Aleaha Jones, Pickard Djinis and Pisarri LLP
Public Comment Kristine Vo, Assistant General Counsel and Office of General Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment George Friedman
Public Comment Carolina Carasa, Student Intern, Fairbridge Investor Rights Clinic, Roberto Quiroga, Student Intern, Fairbridge Investor Rights Clinic and Elissa Germaine, Supervising Attorney, Fairbridge Investor Rights Clinic
Public Comment Gavriel Rosenbaum, Legal Intern, Julia Shea, Legal Intern, Jacob Wetter, Legal Intern and Christine Lazaro, Director of the Securities Arbitration Clinic and Professor of Clinical Legal Education
Public Comment William A. Jacobson, Esq., Clinical Professor, Cornell Law School, Director, Cornell Securities Law Clinic, Dustin Hartuv, Cornell Law School, Class of 2024, Erik Olson, Cornell Law School, Class of 2024 and Jianing Zhao, Cornell Law School, Class of 2024
Public Comment Hugh Berkson President, Public Investors Advocate Bar Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2022-033
Release Number
34-96607
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