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6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES

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5300. HANDLING OF CUSTOMER ORDERS

5240. Anti-Intimidation/Coordination

(a) No member or person associated with a member shall: (1) coordinate the prices (including quotations), trades or trade reports of such member with any other member or person associated with a member, or any other person; (2) direct or request another member to alter a price (including a quotation); or (3) engage, directly or indirectly, in any conduct that threatens, harasses, coerces,

PART III INITIATING AND RESPONDING TO CLAIMS

13204. Class Action and Collective Action Claims

(a) Class Actions (1) Class action claims may not be arbitrated under the Code. (2) Any claim that is based upon the same facts and law, and involves the same defendants as in a court-certified class action or a putative class action, or that is ordered by a court for class-wide arbitration at a forum not sponsored by a self-regulatory organization, shall not be arbitrated under the Code, unless

13201. Statutory Employment Discrimination Claims, Disputes Arising Under a Whistleblower Statute that Prohibits the Use of Predispute Arbitration Agreements, Sexual Assault Claims, and Sexual Harassment Claims

(a) Statutory Employment Discrimination Claims A claim alleging employment discrimination in violation of a statute, is not required to be arbitrated under the Code. Such a claim may be arbitrated only if the parties have agreed to arbitrate it, either before or after the dispute arose. If the parties agree to arbitrate such a claim, the claim will be administered under Rule 13802. (b) Disputes

13103. Director of FINRA Dispute Resolution Services

(a) The Board shall appoint a Director of FINRA Dispute Resolution Services. The Director shall perform all the administrative duties relating to arbitrations submitted under the Code. The Director may delegate his or her duties when it is appropriate, unless the Code provides otherwise. (b) The Director shall consult with the NAMC at the NAMC's request. (c) If the Director is unable to

13100. Definitions

Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws. (a) Arbitrator and Mediator Portal The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES