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13101. Applicability of Code and Incorporation by Reference

This rule is no longer applicable. NASD Rule 13101 has been superseded by FINRA Rule 13101. Please consult the appropriate FINRA Rule.

The Industry Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry 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.

(a) Applicability of Code
The Code applies to any dispute that is submitted to arbitration under the Code pursuant to Rules 13200, 13201, or 13202.
(b) Incorporation by Reference
When a dispute is submitted to arbitration under the Code pursuant to an arbitration agreement, the Code is incorporated by reference into the agreement.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.

Selected Notices: 07-07

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