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14104. Mediation under the Code

This rule is no longer applicable. NASD Rule 14104 has been superseded by FINRA Rule 14104. Please consult the appropriate FINRA Rule.

(a) Mediation under the Code is voluntary, and requires the written agreement of all parties. No party may be compelled to participate in a mediation or to settle a matter by NASD, or by any mediator appointed to mediate a matter pursuant to the Code.
(b) If all parties agree, any matter that is eligible for arbitration under the NASD Customer Code or NASD Industry Code, or any part of any such matter, or any dispute related to such matter, including procedural issues, may be submitted for mediation under the Code.
(c) A matter is submitted to mediation when the Director receives an executed Submission Agreement from each party.
(d) The Director shall have the sole authority to determine if a matter is eligible to be submitted for mediation.
Renumbered from Rule 10405 and amended by SR-NASD-2007-022 eff. April 16, 2007.
Adopted by SR-NASD-2004-013 eff. Jan. 30, 2006.

Selected Notice: 05-85.

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