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Feb. 14, 2012

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.

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.

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