SR-NASD-2004-011

Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes

NASD has filed with the SEC a proposed rule change to reorganize its arbitration rules governing industry disputes. The proposed rule change is part of a comprehensive plan to reorganize NASD’s Code of Arbitration Procedure ("Code") into three separate procedural codes: the NASD Code of Arbitration Procedure for Customer Disputes ("Customer Code"); the NASD Code of Arbitration Procedure for Industry Disputes ("Industry Code"); and the NASD Code of Mediation Procedure ("Mediation Code"). NASD is also proposing to simplify the language of all three Codes, and to make certain substantive changes to the proposed Industry and Customer Codes that would codify current practice, provide guidance to parties, or streamline the administration of arbitrations in the NASD forum.

Title	Format - Size	Status
Text of Proposed Rule Change	PDF - 114.19 KB
Amendment No. 3 to Proposed Rule Change	PDF - 884.78 KB
Amendment No. 4 to Proposed Rule Change	PDF - 2.32 MB
Federal Register Notice	PDF - 99.16 KB
Amendment No. 5 to Proposed Rule Change	PDF - 891.41 KB
Amendment No. 6 to Proposed Rule Change	PDF - 22.53 KB
Amendment No. 7 to Proposed Rule Change	PDF - 618.36 KB
Approval Order	PDF - 270.37 KB
Industry Code	PDF - 147.96 KB
Industry Code Comparison Chart	PDF - 763.86 KB
Exhibit 2 - Proposed Industry Code	PDF - 124.73 KB
Exhibit 3 - Current Code and Proposed Industry Code Comparison Chart	PDF - 435.89 KB
Exhibit 4 - Old-to-New Conversion Guide	PDF - 17.45 KB
Exhibit 5 - List of Proposed Industry Rules That Differ from Proposed Customer Rules	PDF - 4.92 KB
Amendment No. 1 to Proposed Rule Change	PDF - 10.06 KB
Amended Exhibit 2 - Proposed Industry Code	PDF - 124.96 KB
Amended Exhibit 3 - Current Code and Proposed Industry Code Comparison Chart	PDF - 440.26 KB
Amendment No. 2 of Proposed Rule Change	PDF - 733.96 KB