Securities News: FINRA Code Changes, Proposals

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Description: The Financial Industry Regulatory Authority (FINRA) recently announced changes to its customer and industry arbitration codes and its mediation code to allow investors to be represented by attorneys licensed anywhere in the country. The Securities and Exchange Commission has approved an amendment to the definition of the term "public arbitrator" in FINRA's consumer and industry codes. The amendment will prevent certain lawyers, accountants and consultants from serving as a public arbitrator in arbitrations filed by investors.
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