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U.S. Securities and Exchange Commission

Mediation

Mediation is a voluntary, non-binding process that allows parties to work with a mediator to try to quickly resolve differences.  Mediation may result in a settlement that is mutually agreeable to all parties in the dispute, avoiding the need for arbitration or litigation.  Investors who are unable to resolve a dispute through mediation can still go to arbitration.

Websites for 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: 02/14/2012