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NYSE Regulation’s Arbitration Department (NYSE) has combined with NASD Dispute Resolution (NASD DR) as part of a new entity, FINRA. As a result, on and after August 6, 2007, all new arbitration cases will follow the procedures outlined on FINRA’s website (www.finra.org ) under “Start an Arbitration or Mediation.”
Cases in which submission agreements have been filed at the NYSE without the required statement of claim and filing fees will need to have all necessary items submitted within 30 days of August 6, 2007.
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