SR-NASD-2003-158

Reorganization and Revision of NASD Rules Relating to Customer Disputes

NASD has filed with the SEC a proposed rule change to the NASD Code of Arbitration Procedure to reorganize and simplify the current rules governing customer disputes. The proposed rule change would also codify current practices and implement several substantive changes as described herein.
Mediation Code (PDF 28 KB)
Text of proposed rule change and Exhibit 1 (PDF 117 KB)
Exhibit 2 to proposed rule change (PDF 110 KB)
Exhibit 3 to proposed rule change (PDF 334 KB)
Exhibit 4 to proposed rule change (PDF 14 KB)
Exhibit 5 to proposed rule change (PDF 36 KB)
Amendment No. 1 to Proposed Rule Change (PDF 1,068 KB)
Amendment No. 2 to Proposed Rule Change (PDF 23 KB)
Amendment No. 3 to Proposed Rule Change (PDF 734 KB)
Amendment No. 4 to Proposed Rule Change (PDF 1,793 KB)
Federal Register Notice (PDF 95 KB)
Amendment No. 5 to Proposed Rule Change (PDF 1,038 KB)
Amendment No. 6 to Proposed Rule Change (PDF 44 KB)
Amendment No. 7 to Proposed Rule Change (PDF 613 KB)
Approval Order (PDF 612 KB)
Customer Code (PDF 328 KB)
Customer Code Comparison Chart (PDF 679 KB)