FINRA Manual: Contents
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14000. CODE OF MEDIATION PROCEDURE
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This version is valid from Dec 20 2015 through Apr 2 2017.
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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.
The term "Board" means the Board of Directors of FINRA Regulation, Inc.
The term "Code" means the Code of Mediation Procedure.
The term "Director" in the Rule 14000 Series refers to the Director of Mediation at the Office of Dispute Resolution. Unless the Code or any other FINRA rule provides otherwise, the term includes FINRA staff to whom the Director of Mediation has delegated authority.
The term "matter" means a dispute, claim, or controversy.
The term "NAMC" means the National Arbitration and Mediation Committee of the Board.
Unless the Code specifies otherwise, the term "FINRA" includes FINRA, Inc., and FINRA Regulation, Inc.
(g) FINRA Customer Code
The term "Customer Code" means the Code of Arbitration Procedure for Customer Disputes.
(h) FINRA Industry Code
The term "Industry Code" means the Code of Arbitration Procedure for Industry Disputes.
(i) Submission Agreement
The term "Submission Agreement" means the FINRA Mediation Submission Agreement. The FINRA Mediation Submission Agreement is a document that parties must sign at the outset of a mediation in which they agree to submit to mediation under the Code.
Amended by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 10401 and amended by SR-NASD-2007-022 eff. April 16, 2007.
Adopted by SR-NASD-2004-013 eff. Jan. 30, 2006.
Selected Notices: 05-85, 08-57, 16-04.