SR-NASD-2004-013

Reorganization and Revision of NASD Mediation Rules

NASD has filed with the SEC a proposed rule change to reorganize its mediation rules. The proposed rule change is part of a comprehensive plan to reorganize NASD’s Code of Arbitration Procedure ("Code") into three separate procedural codes: the NASD Code of Arbitration Procedure for Customer Disputes ("Customer Code"); the NASD Code of Arbitration Procedure for Industry Disputes ("Industry Code"); and the NASD Code of Mediation Procedure ("Mediation Code"). NASD is also proposing to simplify the language and organization of all three Codes.

Text of Proposed Rule Change (PDF 28 KB)
Exhibit 2 - Proposed Mediation Code (PDF 17 KB)
Exhibit 3 - Current Code and Proposed Mediation Code Comparison Chart (PDF 28 KB)
Exhibit 4-Old-to-New Conversion Guide (PDF 7 KB)
Amendment No. 1 to Proposed Rule Change (PDF 248 KB)
Amendment No. 2 of Proposed Rule Change (PDF 174 KB)
Federal Register Notice (PDF 64 KB)
Amendment No. 3 to Proposed Rule Change (PDF 146 KB)
Approval Order (PDF 59 KB)