The Eligibility of a Dispute for Arbitration
Published on:
November 12, 1996
The Litigation Committee of the Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission (SEC) on a National Association of Securities Dealers, Inc. (NASD) proposal to amend the NASD policy and procedure concerning the application eligibility provision in Rule 10304 of the NASD Code of Arbitration Procedure so that arbitrators, not the NASD Regulation staff, shall determine whether a dispute is eligible for arbitration.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.