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12201. Elective Arbitration

Parties may arbitrate a dispute under the Code if:
•  The parties agree in writing to submit the dispute to arbitration under the Code after the dispute arises; and
•  The dispute is between a customer and a member, associated person of a member, or other related party; and
•  The dispute arises in connection with the business activities of a member or an associated person, except disputes involving the insurance business activities of a member that is also an insurance company.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.

Selected Notice: 07-07, 08-57.

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