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SR-NASD-2004-011 |
Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
NASD has filed with the SEC a proposed rule change to reorganize its arbitration rules governing industry disputes. 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 of all three Codes, and to make certain substantive changes to the proposed Industry and Customer Codes that would codify current practice, provide guidance to parties, or streamline the administration of arbitrations in the NASD forum.| Text of Proposed Rule Change PDF 115 KB |
| Exhibit 2 - Proposed Industry Code PDF 125 KB |
| Exhibit 3 - Current Code and Proposed Industry Code Comparison Chart PDF 422 KB |
| Exhibit 4 - Old-to-New Conversion Guide PDF 18 KB |
| Exhibit 5 - List of Proposed Industry Rules That Differ from Proposed Customer Rules PDF 5 KB |
| Amendment No. 1 to Proposed Rule Change PDF 11 KB |
| Amended Exhibit 2 - Proposed Industry Code PDF 125 KB |
| Amended Exhibit 3 - Current Code and Proposed Industry Code Comparison Chart PDF 441 KB |
| Amendment No. 2 of Proposed Rule Change PDF 2,269 KB |
| Amendment No. 3 to Proposed Rule Change PDF 885 KB |
| Amendment No. 4 to Proposed Rule Change PDF 2374 KB |
| Federal Register Notice PDF 100 KB |
| Amendment No. 5 to Proposed Rule Change PDF 892 KB |
| Amendment No. 6 to Proposed Rule Change PDF 23 KB |
| Amendment No. 7 to Proposed Rule Change PDF 619 KB |
| Approval Order PDF 610 KB |
| Industry Code PDF 379 KB |
| Industry Code Comparison Chart PDF 764 KB |
