FINRA Manual: Contents
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13104. Effect of Arbitration on FINRA Regulatory Activities
The Industry Code applies to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code 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.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.|
Adopted by SR-NASD-2004-011 eff. April 16, 2007.
Selected Notice: 07-07, 08-57.