Nasdaq General Rule 6 (Series)

Key provisions:

• Customer and industry arbitration cases must follow FINRA’s arbitration rules and procedures.
• Pre-dispute arbitration agreements between member firms and customers must comply with FINRA requirements.
• Arbitrators may refer potential securities law or Nasdaq rule violations to Nasdaq for disciplinary review after the arbitration matter is resolved.
• Member firms and associated persons must honor arbitration awards or risk disciplinary action by Nasdaq.
• Arbitration does not limit Nasdaq’s regulatory authority, and Nasdaq may pursue separate examinations, investigations, or enforcement actions when appropriate.