Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Tuesday, February 27, 2007

NASD Arbitrators Must Take Training

Because of the SEC’s recent approval of NASD’s revised Code of Arbitration Procedure , NASD requires all active arbitrators on its roster to complete an online training course. The mandatory course – which is FREE to all NASD arbitrators – provides background information about the Code revision project and discusses the key, substantive changes of the Customer Code with complementary Industry Code highlights.

The revised Code is effective for all cases filed on or after April 16, 2007. Arbitrators are encouraged to complete the training within the next 30 days. Arbitrators who fail to complete this mandatory training course may be made unavailable for future service as an NASD arbitrator.

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Where do you take training?

Posted by: ashley | Oct 30, 2007 8:42:37 AM

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