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  • 13200. Required Arbitration

    (a) Generally
    Except as otherwise provided in the Code, a dispute must be arbitrated under the Code if the dispute arises out of the business activities of a member or an associated person and is between or among:
    •  Members;
    •  Members and Associated Persons; or
    •  Associated Persons.
    (b) Insurance Activities
    Disputes arising out of the insurance business activities of a member that is also an insurance company are not required to be arbitrated under the 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.