FINRA & SEC Regulatory Comments — Bakhtiari & Harrison
This page contains a complete record of regulatory comments filed by Ryan Bakhtiari with the SEC, FINRA, and other federal and state authorities on matters relating to FINRA arbitration procedure, arbitrator selection, expungement, and investor protection. Ryan Bakhtiari served as Chairman of the FINRA National Arbitration and Mediation Committee from 2013 to 2017 — the body that writes the rules governing FINRA arbitration — and as President of PIABA from 2011 to 2012. This record of regulatory engagement is a direct demonstration of the firm’s institutional involvement in shaping the rules that govern every FINRA arbitration proceeding.
9/18/2018
FINRA Regulatory Notice 18-22Discovery of Insurance Information in Arbitration
Ryan K. Bakhtiari7/31/2018
FINRA Regulatory Notice 18-26Proposal to Amend FINRA Rules 12214 and 13214
Ryan K. Bakhtiari12/11/2017
FINRA Regulatory Notice 17-34Non-Attorney Representatives in Arbitration
Ryan K. Bakhtiari6/13/2017
Special Notice – Engagement Initiative
Ryan K. Bakhtiari5/15/2017
Subject: File No. SR-FINRA-2017-009Notice of Filing of a Proposed Rule Change Relating to Expediting List Selection in Arbitration
Ryan K. Bakhtiari9/9/2016
Subject: File No. SR-FINRA-2016-033Notice 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. Bakhtiari7/26/2016
Subject: File No. SR-FINRA-2016-022Notice 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. Bakhtiari3/9/2015
Subject: File No. SR-FINRA-2015-003Proposed Rule Change to Amend Code of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
Ryan K. Bakhtiari10/30/2014
Subject: File No. SR-FINRA-2014-028Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Ryan K. Bakhtiari7/2/2014
Subject: File No. SR-FINRA-2014-026Proposed Rule Change to Increase Arbitrator Honoraria
Ryan K. Bakhtiari7/2/2014
Subject: File No. SR-FINRA-2014-028Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Ryan K. Bakhtiari5/5/2014
Subject: File No. SR-FINRA-2014-020Prohibited Conditions Relating to Expungement of Customer Dispute Information
Ryan K. Bakhtiari7/10/2013
Subject: File No. SR-FINRA-2013-023All Public Arbitration Panel Default Option
Ryan K. Bakhtiari10/4/2012
Subject: File No. SR-FINRA-2012-041Appearances of Witness and Non-Party Production of Documents
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association8/30/2012
Regulatory Notice 12-34Crowdfunding Activities
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association6/28/2012
California Senate Bill 978
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association6/26/2012
Subject: File No. SR-FINRA-2012-025Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions)
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association6/18/2012
Amendments to Form ADV
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association6/8/2012
Release No. 34-66910, File No. S7-08-07Amendments to Financial Responsibility Rules for Broker-Dealers
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association5/18/2012
Regulatory Notice 12-18In re Expungement Procedures
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association4/11/2012
California Assembly Bill 2081
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association4/11/2012
Regulatory Notice 12-14Proposed Amendments to NASD Rule 2340
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association4/2/2012
Regulatory Notice 12-09Debt Research Reports
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association3/29/2012
Regulatory Notice 12-10FINRA BrokerCheck
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association3/21/2012
Release No. 34-6614, File No. 4-645Dodd-Frank Investor Financial Literacy Study
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association3/16/2012
Subject: File No. SR-FINRA-2012-012Proposed 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 Association2/28/2012
Subject: File No. SR-FINRA-2012-11Discretion to Determine Mediator
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association11/14/2011
Subject: File No. SR-FINRA-2011-057Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placement of Securities)
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar Association11/11/2011
Regulatory Notice 11-44Proposed Amendments to NASD Rule 2340
Ryan K. Bakhtiari as President of the Public Investors Arbitration Bar AssociationFINRA Discovery Guide
Ryan K. Bakhtiari9/8/2009
Subject: File No. SR-FINRA-2009-050CRD Reporting
Ryan K. Bakhtiari3/24/2008
Subject: File No. SR-FINRA-2007-021Motions to Dismiss
Ryan K. Bakhtiari