{"id":4368,"date":"2007-01-29T06:46:48","date_gmt":"2007-01-29T06:46:48","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/01\/securities_and_exchange_commis"},"modified":"2022-07-22T08:42:03","modified_gmt":"2022-07-22T13:42:03","slug":"securities-and-exchange-commis","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/securities-and-exchange-commis\/","title":{"rendered":"Securities and Exchange Commission Approves Improvements To The NASD\u2019s Code of Arbitration Procedure"},"content":{"rendered":"

The SEC (Securities and Exchange Commission) says that it has approved a number of improvements made by the National Association of Securities Dealers to their Code of Arbitration Procedure. The newly approved Code describes best practices and offers additional guidance to arbitrators and parties regarding the NASD Dispute Resolution forum.<\/p>\n

Included among these changes are the reorganization of the Code into a more user friendly and logical manner, and the simplifying of the Code’s language. The Code is also now divided into three sections: The Industry Code, The Customer Code, and the Mediation Code. This separation of the code into three parts is intended to remove any confusion regarding which part applies to which disputes. The rules are now ordered in the sequence of a typical arbitration to make each rule easier to find. In addition, parties involved in disputes must either produce documents requested during the discovery process or formally object to producing them. Uniform procedures for filing, responding to, and making decision regarding motions in arbitrations can also be found in the new Code.<\/p>\n

While the Mediation Code became effective on January 20, 2006, the Industry and Customer Codes won’t become effective until April 2007. These new Codes will affect claims that are filed on or after the April 2007 date, claims that have already been filed but do not already have a list of arbitrators, and claims where a new list of arbitrators still needs to be generated.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The SEC (Securities and Exchange Commission) says that it has approved a number of improvements made by the National Association of Securities Dealers to their Code of Arbitration Procedure. The newly approved Code describes best practices and offers additional guidance to arbitrators and parties regarding the NASD Dispute Resolution forum. Included among these changes are […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3788],"tags":[],"class_list":["post-4368","post","type-post","status-publish","format-standard","hentry","category-nasd-enforcement"],"yoast_head":"\nSecurities and Exchange Commission Approves Improvements To The NASD\u2019s Code of Arbitration Procedure — Investor Lawyers Blog — January 29, 2007<\/title>\n<meta name=\"description\" content=\"The SEC (Securities and Exchange Commission) says that it has approved a number of improvements made by the National Association of Securities Dealers to — January 29, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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