Comments Filed with the Securities and Exchange Commission, FINRA and Other State and Federal Authorities

• 9/18/2018

  FINRA Regulatory Notice 18-22

  Discovery of Insurance Information in Arbitration

  Ryan K. Bakhtiari

• 7/31/2018

  FINRA Regulatory Notice 18-26

  Proposal to Amend FINRA Rules 12214 and 13214

  Ryan K. Bakhtiari

• 7/27/2018

  FINRA Regulatory Notice 18-22

  Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration

  Philip M. Aidikoff

• 12/11/2017

  FINRA Regulatory Notice 17-34

  Non-Attorney Representatives in Arbitration

  Ryan K. Bakhtiari

• 12/11/2017

  FINRA Regulatory Notice 17-34

  Non-Attorney Representatives in Arbitration

  Philip M. Aidikoff

• 6/13/2017

  Special Notice – Engagement Initiative

  Ryan K. Bakhtiari

• 5/15/2017

  Subject: File No. SR-FINRA-2017-009

  Notice of Filing of a Proposed Rule Change Relating to Expediting List Selection in Arbitration

  Ryan K. Bakhtiari

• 9/9/2016

  Subject: File No. SR-FINRA-2016-033

  Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration

  Ryan K. Bakhtiari

• 7/27/2016

  Subject: File No. SR-FINRA-2016-022

  Notice of Filing of Proposed Rule Change to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration

  Philip M. Aidikoff

• 7/26/2016

  Subject: File No. SR-FINRA-2016-022

  Notice of Filing of Proposed Rule Change to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration

  Ryan K. Bakhtiari

• 3/9/2015

  Subject: File No. SR-FINRA-2015-003

  Proposed Rule Change to Amend Code of Arbitration Procedure Relating to Cancelling or Postponing a Hearing

  Ryan K. Bakhtiari

• 2/24/2015

  Subject: File No. SR-FINRA-2015-003

  Proposed Rule Change to Amend Code of Arbitration Procedure Relating to Cancelling or Postponing a Hearing

  Philip M. Aidikoff

• 10/30/2014

  Subject: File No. SR-FINRA-2014-028

  Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

  Ryan K. Bakhtiari

• 7/2/2014

  Subject: File No. SR-FINRA-2014-026

  Proposed Rule Change to Increase Arbitrator Honoraria

  Ryan K. Bakhtiari

• 7/2/2014

  Subject: File No. SR-FINRA-2014-026

  Proposed Rule Change to Increase Arbitrator Honoraria

  Philip M. Aidikoff

• 7/2/2014

  Subject: File No. SR-FINRA-2014-028

  Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

  Ryan K. Bakhtiari

• 7/1/2014

  Subject: File No. SR-FINRA-2014-028

  Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

  Philip M. Aidikoff

• 5/5/2014

  Subject: File No. SR-FINRA-2014-020

  Prohibited Conditions Relating to Expungement of Customer Dispute Information

  Ryan K. Bakhtiari

• 5/1/2014

  Subject: File No. SR-FINRA-2014-020

  Prohibited Conditions Relating to Expungement of Customer Dispute Information

  Philip M. Aidikoff

• 7/10/2013

  Subject: File No. SR-FINRA-2013-023

  All Public Arbitration Panel Default Option

  Philip M. Aidikoff

• 7/10/2013

  Subject: File No. SR-FINRA-2013-023

  All Public Arbitration Panel Default Option

  Ryan K. Bakhtiari

• 1/30/2013

  Subject: File No. SR-FINRA-2013-003

  Public Arbitrator Definition

  Robert A. Uhl

• 1/29/2013

  Subject: File No. SR-FINRA-2013-003

  Public Arbitrator Definition

  Philip M. Aidikoff

• 10/4/2012

  Subject: File No. SR-FINRA-2012-041

  Appearances of Witness and Non-Party Production of Documents

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 8/30/2012

  Regulatory Notice 12-34

  Crowdfunding Activities

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 6/28/2012

  California Senate Bill 978

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 6/26/2012

  Subject: File No. SR-FINRA-2012-025

  Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions)

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 6/18/2012

  Amendments to Form ADV

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 6/8/2012

  Release No. 34-66910, File No. S7-08-07

  Amendments to Financial Responsibility Rules for Broker-Dealers

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 5/18/2012

  Regulatory Notice 12-18

  In re Expungement Procedures

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 4/11/2012

  California Assembly Bill 2081

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 4/11/2012

  Regulatory Notice 12-14

  Proposed Amendments to NASD Rule 2340

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 4/2/2012

  Regulatory Notice 12-09

  Debt Research Reports

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 3/29/2012

  Regulatory Notice 12-10

  FINRA BrokerCheck

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 3/21/2012

  Release No. 34-6614, File No. 4-645

  Dodd-Frank Investor Financial Literacy Study

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 3/16/2012

  Subject: File No. SR-FINRA-2012-012

  Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 2/28/2012

  Subject: File No. SR-FINRA-2012-11

  Discretion to Determine Mediator

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 11/14/2011

  Subject: File No. SR-FINRA-2011-057

  Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placement of Securities)

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 11/11/2011

  Regulatory Notice 11-44

  Proposed Amendments to NASD Rule 2340

  Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association

• 11/29/2010

  Subject: File No. SR-FINRA-2010-053

  Elimination of Mandatory Industry Arbitrator

  Robert A. Uhl

• 11/25/2010

  Subject: File No. SR-FINRA-2010-053

  Elimination of Mandatory Industry Arbitrator

  Philip M. Aidikoff

• 8/20/2010

  Subject: File No. SR-FINRA-2010-035

  FINRA Discovery Guide

  Ryan K. Bakhtiari

• 9/8/2009

  Subject: File No. SR-FINRA-2009-050

  CRD Reporting

  Ryan K. Bakhtiari

• 3/25/2008

  Subject: File No. SR-FINRA-2007-021

  Motions to Dismiss

  Robert A. Uhl

• 3/24/2008

  Subject: File No. SR-FINRA-2007-021

  Motions to Dismiss

  Ryan K. Bakhtiari

• 3/21/2008

  Subject: File No. SR-FINRA-2007-021

  Motions to Dismiss

  Philip M. Aidikoff

• 7/17/2007

  Subject: File No. SR-NASD-2007-021

  Amendment to Definition of Public Arbitrator

  Philip M. Aidikoff

• 9/13/2006

  Subject: File No. SR-NASD-2006-088

  Motions to Dismiss

  Philip M. Aidikoff

• 7/19/2006

  Subject: File No. SR-NASD-2005-079

  Issuance of Subpoenas

  Philip M. Aidikoff

• 5/16/2006

  Subject: File No. SR-NASD-2003-158

  NASD Rules Relating to Customer Disputes

  Philip M. Aidikoff

• 9/16/2005

  Subject: File No. SR-NYSE-2005-43

  Public Arbitrator Definition

  Philip M. Aidikoff

• 9/13/2002

  Proposal to Amend NASD Rule 3070

  Philip M. Aidikoff as President of the Public Investors Arbitration Bar Association