HomeRules & RegulationEnforcementEducation & ProgramsRegulatory SystemsArbitration & MediationInvestor Information
FINRA Rules | Notices | Rule Filings | Member Alerts | Publications & Guidance | Issue Center | Compliance Tools
spacer image
spacer image
spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image
 
Search
Powered by Google

Rule Filings

spacer image LOGO

SR-NASD-2005-023

Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation

This filing was withdrawn and replaced by SR-NASD-2006-109

 

NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 10316 and to adopt Rule 10408 of the NASD Code of Arbitration Procedure (“Code”) to address attorney representation in arbitration and mediation.

 
Withdrawal of Proposed Rule Change PDF 23 KB