10106. Legal Proceedings
This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.
No party shall, during the arbitration of any matter, prosecute or commence any suit, action, or proceeding against any other party touching upon any of the matters referred to arbitration pursuant to this Code.
|
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Selected Notices: 84-71, 94-61, 08-57. |