SR-NASD-2004-013
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.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 27.36 KB | |
| Exhibit 2 - Proposed Mediation Code | PDF - 16.25 KB | |
| Exhibit 3 - Current Code and Proposed Mediation Code Comparison Chart | PDF - 27.77 KB | |
| Exhibit 4-Old-to-New Conversion Guide | PDF - 6.39 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 247.69 KB | |
| Amendment No. 2 of Proposed Rule Change | PDF - 173.45 KB | |
| Federal Register Notice | PDF - 63.29 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 145.51 KB | |
| Approval Order | PDF - 58.63 KB |