FINRA Amends Code of Arbitration Procedure to Protect Personal Confidential Information

Amendments to the FINRA Code of Arbitration Procedure for Customer and Industry Disputes aimed at protecting personal information became effective on July 28, 2014. The amended Rules 12300 (Customer Code provision) and 13300 (Industry Code provision) require parties filing documents with FINRA that contain an individual’s Social Security Number, taxpayer identification number or financial account number to redact the information…

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