FINRA Rule Filings to Amend NASD Code of Arbitration

Pursuant to BATS Exchange Rule 9.1, "[t]he 12000 and 13000 Series of FINRA's NASD Manual, the NASD Code of Arbitration Procedure for Customer and Industry Disputes, respectively ("NASD Code of Arbitration"), as the same may be in effect from time to time, shall govern Exchange Arbitrations except as may be specified in . . . Chapter IX. For purposes of Exchange arbitrations, defined terms used in . . . Chapter IX and not otherwise defined . . . [in Chapter IX] shall have the same meaning as those prescribed in the NASD Code of Arbitration, and procedures contained in the NASD Code of Arbitration shall have the same application as toward Exchange arbitrations."

As a result of BATS Exchange Rule 9.1, changes to the NASD Code of Arbitration could have an impact on arbitrations conducted under the BATS Exchange rules. Accordingly, below are links to pending FINRA rule filings with the SEC seeking to amend the NASD Code of Arbitration as well as any SEC orders approving or disapproving those FINRA rule filings.

SR-FINRA-2014-045

Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

SR-FINRA-2014-028 Update

Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

SR-FINRA-2014-026 Approved

Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees

SR-FINRA-2014-008 Approval Order

Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution

SR-FINRA-2014-005 Approved

Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding

SR-FINRA-2013-024

Proposed rule change to amend the Discovery Guide used in customer arbitration proceedings.Approval Order

SR-FINRA-2013-023

Proposed rule change to amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to simplify arbitrator selection in cases with three arbitrators.Approval Order

SR-FINRA-2013-003

Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition. Approval Order

SR-FINRA-2012-041

Proposed rule change to amend FINRAs Customer and Industry Codes of Arbitration Procedure relating to subpoenas and to arbitrator authority to direct appearances of associated person witnesses and production of documents without subpoenas. Approval Order

SR-FINRA-2012-012

Proposed Rule Change to Amend FINRAs Customer and Industry Codes of Arbitration Procedures to Raise the Limit for Simplified Arbitration from $25,000 to $50,000 Approval Order

SR-FINRA-2011-075

Proposed Rule Change to Amend Rule 132004 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code Approval Order

SR-FINRA-2011-067

Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration Approval Order

SR-FINRA-2011-006

Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice Approval Order

SR-FINRA-2011-005

Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes Approval Order

SR-FINRA-2010-053

Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (Customer Code), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases. Approval Order

SR-FINRA-2010-050

The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims Notice of Filing and Immediate Effectiveness

SR-FINRA-2010-035

Proposed Rule Change to Amend the Discovery Guide and to Make Other Conforming Changes to Rules in the Arbitration Codes Approval Order

SR-FINRA-2010-022 Approved

Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure

SR-FINRA-2010-006

The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 12602 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13602 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (together, "Codes") to provide that a non-party witness may be represented by an attorney at an arbitration hearing while the witness is testifying. Approval Order

SR-FINRA-2009-075

Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes Approval Order

SR-FINRA-2009-073

Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding Approval Order

SR-FINRA-2009-072

Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected Approval Order

SR-FINRA-2009-041

Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim. Approval Order

SR-FINRA-2009-026

The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend various rules of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (collectively "Codes") to correct typographical errors and implement other non-substantive technical changes. Notice of Filing and Immediate Effectiveness

SR-FINRA-2009-015

The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") to establish procedures to expedite the administration of promissory note cases; and amend Rules 13214 and 13600 of the Industry Code to make conforming changes.Approval Order

SR-FINRA-2009-013

The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rules 12206 and 13206 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code"), respectively, to clarify that the rules toll the applicable statutes of limitation when a person files an arbitration claim with FINRA. Approval Order

SR-FINRA-2008-063

Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook. Notice of Filing and Immediate Effectiveness

SR-FINRA-2008-051

Proposed Rule Change to Amend Rules 12214, 12514 and 12904 of the Code of Arbitration Procedure for Customer Disputes and Rules 13214, 13514 and 13904 of the Code of Arbitration Procedure for Industry Disputes to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties. Approval Order

SR-FINRA-2008-047

Proposed Rule Change to Amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to Raise the Amount in Controversy Heard by a Single Chair-qualified Arbitrator to $100,000. Approval Order