FINRA Manual: Contents
FINRA ManualConnected by Complinet
14000. CODE OF MEDIATION PROCEDURE
|View Whole Section||Text only||Print Manager||Link|
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 documents and information and view their arbitration and mediation case information and documents.
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.
(h) FINRA Customer Code
The term "Customer Code" means the Code of Arbitration Procedure for Customer Disputes.
(i) FINRA Industry Code
The term "Industry Code" means the Code of Arbitration Procedure for Industry Disputes.
(j) Party Portal
The term "Party Portal" means the web-based system that is accessible by arbitration and mediation parties and their representatives. The Party Portal allows invited participants to access a secure section of FINRA's website to submit documents and view their arbitration and mediation case information and documents.
(k) 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-2016-029 eff. April 3, 2017.
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, 17-03.