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.

DateTitleFormat - SizeStatus
1/23/2004Text of Proposed Rule ChangePDF - 27.36 KB
1/23/2004Exhibit 2 - Proposed Mediation CodePDF - 16.25 KB
1/23/2004Exhibit 3 - Current Code and Proposed Mediation Code Comparison ChartPDF - 27.77 KB
1/23/2004Exhibit 4-Old-to-New Conversion GuidePDF - 6.39 KB
1/3/2005Amendment No. 1 to Proposed Rule ChangePDF - 247.69 KB
4/8/2005Amendment No. 2 of Proposed Rule ChangePDF - 173.45 KB
6/23/2005Federal Register NoticePDF - 63.29 KB
10/7/2005Amendment No. 3 to Proposed Rule ChangePDF - 145.51 KB
11/8/2005Approval OrderPDF - 58.63 KB