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U.S. Securities and Exchange Commission

Mediation

Mediation is also an option you should consider before going to arbitration. Mediation may allow you to save time and money because it is quicker than arbitration. Mediation also can be less confrontational than arbitration. If you can't reach an agreement through mediation, you can still go to arbitration. The FINRA Dispute Resolution, Inc. and the New York Stock Exchange have more information about mediation.

http://www.sec.gov/answers/mediate.htm

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.


Modified: 03/26/2008