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"The Pacific Exchange, Inc. sponsors an arbitration
forum for the resolution of disputes that involve public
customers, OTP Holders, OTP Firms, and Allied Persons
(as defined in PCX Rule 1)." See PCX
Rule 12.
PCX Equities, Inc. (PCXE) sponsors an arbitration forum
for the resolution of disputes that involve public customers,
ETP Holders, or persons associated with ETP Holders. See
PCXE
Rule 12.
The PCX Arbitration Department processes and administers
arbitration claims and has assembled this information
packet to assist you in preparing and filing your arbitration
claim.
These instructions provide information on filing an arbitration
claim with the PCX only.
Please read each section carefully to avoid making any
errors in your filing which could delay the processing
of your claim.
General Information
The following documents are provided for your reference
and use. You can download all of these documents below
or look at them online by clicking on the green menu items
towards the top of the left-side of this frame. Please
review each of these items thoroughly prior to submitting
your Statement of Claim.
- Instructions
for Filing an Arbitration Claim
- PCX
Rule 12 (Arbitration) *
- PCXE
Rule 12 (Arbitration) *
- Uniform
Submission Agreement
- "How
to Read the Schedule of Fees"
- Claimant
Information Sheet
- Final
Checklist
If you need general information regarding arbitration,
you can review the Arbitration
Procedures Booklet (view on SEC web site). However,
the procedures outlined in this Booklet are not a substitute
for PCX Rules which govern arbitration at the PCX.
Please Note: The above forms must be printed and
filled out manually. They cannot be submitted online.
If you decide that filing for arbitration does not suit
your needs, mediation may be an appropriate alternative.
Please visit the American
Arbitration Association's Web site for more information
on arbitration and mediation.
* Please be advised that Rule
12 is subject to change without notice.
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