FINRA - Rules and Regulations - FINRA Manual Online

Notices
(3 links)

08-57 FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Effective Date: December 15, 2008

07-57 SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation; Effective Date: December 24, 2007

05-85 SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure; Effective January 30, 2006

14108. Limitation on Liability

FINRA, its employees, and any mediator named to mediate a matter under the Code shall not be liable for any act or omission in connection with a mediation administered under the Code.

Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 14107 by SR-NASD-2006-109 eff. Dec. 24, 2007.
Renumbered from Rule 10408 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.