10201. Required Submission
This Code was superseded by the Customer Code (FINRA Rule 12000 Series) and the Industry Code (FINRA Rule 13000 Series) on April 16, 2007, for claims filed on or after that date.
(a) Except as provided in paragraph (b) or Rule 10216, a dispute, claim, or controversy eligible for submission under the Rule 10100 Series between or among members and/or associated persons, and/or certain others, arising in connection with the business of such member(s) or in connection with the activities of such associated person(s), or arising out of the employment or termination of employment of such associated person(s) with such member, shall be arbitrated under this Code, at the instance of:
Amended by SR-NASD-99-08 eff. Jan. 18, 2000. Amended by SR-NASD-97-77 eff. Jan. 1, 1999. Amended eff. Oct. 1, 1993. Selected Notice: 99-96, 98-56. |