Code of Procedure


Also found in: Acronyms.

Code of procedure

The guide of the National Association of Securities Dealers used to adjudicate complaints filed against NASD members.

Code of Procedure

Rules used by the National Association for Securities Dealers to settle disputes between members. See also: Arbitration, FINRA.

Code of Procedure

Rules of the National Association of Securities Dealers for settling disputes among members or complaints against NASD members by outsiders.
References in periodicals archive ?
The National Arbitration Forum's Code of Procedure provides rules that ensure that all legal remedies are available to parties, making any relief available in a judicial forum available in a National Arbitration Forum arbitration.
Among other things, the Statement of Ethical Principles also restates the Forum's position that arbitration organizations should be independent from parties, that arbitration costs should be reasonable, and that all substantive legal rights and remedies should be available to parties, as they are under the Forum's Code of Procedure.
Featured updates to the 2005 Code of Procedure include a provision to grant arbitrators the ability to value large claims early in the arbitration process and a provision for arbitrators to provide injunctive relief and restraining orders in business-to-business cases.
Section 580b of the California Civil Code of Procedure prohibits, among other matters, a deficiency judgment after the foreclosure sale of real property that secures seller financing provided for the purchase of such real property.
The Forum Code of Procedure and Arbitration Bill of Rights ensure that their decisions are consistent with federal and state law and judicial guidance, and are reviewable by the courts.
Werblow noted that while an Office of Hearing Officers has already been established and staffed, the NASD is awaiting SEC approval of its proposed changes to the Code of Procedure before its professional hearing officers can preside over NASD disciplinary proceedings.
NASD(R)) today announced that the Securities and Exchange Commission (SEC) has approved the NASD's new Code of Procedure and rules governing the admission to membership of broker/dealer firms.
The company intends to seek a full review of the Committee's actions under Article IX, Section 6 of the Code of Procedure by the NASDAQ Hearing Review Committee (the "Review Committee").
The company has requested, in accordance with NASD's Code of Procedure, an oral hearing before a qualifications committee to consider an exception to their previous decision.
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