10331. Incorporation by Reference
This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date.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.
This Code shall be deemed a part of and incorporated by reference in every agreement to arbitrate under NASD or FINRA rules including a duly executed Submission Agreement.
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Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended eff. May 7, 1991. Selected Notice: 08-57. |