For updates and guidance related to COVID-19 / Coronavirus, click here.
12414. Determinations of Arbitration Panel
This rule is no longer applicable. NASD Rule 12414 has been superseded by FINRA Rule 12414. Please consult the appropriate FINRA Rule.
The Customer Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Customer Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new Code.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.
Selected Notices: 07-07