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(2 versions)
Dec 15 2008 - Aug 5 2012Aug 6 2012 onwards

14107. Mediator Selection

(a) A mediator may be selected:
(1) By the parties from a list supplied by the Director;
(2) With the Director's approval upon receipt of the parties' joint request, from a list or other source the parties choose; or
(3) By the Director if the parties do not select a mediator after submitting a matter to mediation.
(b) For any mediator assigned or selected from a list provided by FINRA, the parties will be provided with information relating to the mediator's employment, education, and professional background, as well as information on the mediator's experience, training, and credentials as a mediator.
(c) Any mediator selected or assigned to mediate a matter shall comply with the provisions of Customer Code Rule 12405 or Industry Code Rule 13408, unless, with respect to a non-FINRA mediator approved by the Director, the parties elect to waive such disclosure.
(d) No mediator may serve as an arbitrator of any matter pending in FINRA arbitration in which he served as a mediator; nor may the mediator represent any party or participant to the mediation in any subsequent FINRA arbitration relating to the subject matter of the mediation.
Amended by SR-FINRA-2012-011 eff. Aug. 6, 2012.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 14106 by SR-NASD-2006-109 eff. Dec. 24, 2007.
Renumbered from Rule 10407 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, 07-57, 08-57, 12-35.

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