When used in the Capital Acquisition Broker Rules, unless the context otherwise requires:
(a) "Associated person of a capital acquisition broker" or "person associated with a capital acquisition broker"
The term "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" means: (1) a natural person
FINRA Rule 0150 shall apply to the Capital Acquisition Broker Rules.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All persons that have been approved for membership in FINRA as a capital acquisition broker and persons associated with capital acquisition brokers shall be subject to the FINRA By-Laws (including the schedules thereto), unless the context requires otherwise, and the Capital Acquisition Broker Rules. Persons associated with a capital acquisition broker shall have the same duties and
(a) Filing Fees: Cases Filed Directly in Mediation
Each party to a matter submitted directly to a mediation administered under the Code must pay an administrative fee to FINRA in the amounts indicated in the schedule below, unless such fee is specifically waived by the Director.
Amount in Controversy
Customer and Associated Person Fee
(a) The following Ground Rules govern the mediation of a matter. The parties to a mediation may agree to amend any or all of the Ground Rules at any time. The Ground Rules are intended to be standards of conduct for the parties and the mediator.
(b) Mediation is voluntary and any party may withdraw from mediation at any time prior to the execution of a written settlement agreement by
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,
(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.
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(a) Unless the parties agree otherwise, the submission of a matter for mediation will not stay or otherwise delay the arbitration of a matter pending at FINRA. If all parties agree to stay an arbitration in order to mediate the matter, the arbitration will be stayed, notwithstanding any provision to the contrary in this Code or any other rule.
(b) If mediation is conducted through FINRA
