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: Securities Law Prof Blog

SEC Approves FINRA Rule Amending Definition of Public Arbitrator

By Securites Lawprof

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The SEC approved a FINRA proposal to amend the definition of public arbitrator in Rule 12100(u) of the Customer Code and Rule 13100(u) of the Industry Code to add a provision that would prevent an attorney, accountant, or other professional...

Full post as published by Securities Law Prof Blog on March 17, 2008 (boomark / email).

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