Voluntary Direct Communication Between Parties and Arbitrators

NASD has filed with the SEC a proposed rule change to the Code of Arbitration Procedure to permit parties in an arbitration to communicate directly with the arbitrators if all parties and arbitrators agree, and to establish guidelines for such direct communication.

TitleFormat - SizeStatus
Text of proposed rule changePDF - 29.89 KB
Approval OrderPDF - 58.02 KB
Amendment No. 1 to Proposed Rule ChangePDF - 24.57 KB
Federal Register NoticePDF - 67.99 KB