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13502. Recording Prehearing Conferences

This rule is no longer applicable. NASD Rule 13502 has been superseded by FINRA Rule 13502. 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) Prehearing conferences will not be recorded unless the panel determines otherwise, either on its own initiative or upon motion of a party.
(b) If a prehearing conference is recorded, it may be recorded using any of the methods discussed under Rule 13606. The Director will provide a copy of the recording to any party upon request for a nominal fee.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.

Selected Notices: 07-07

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