7 Appendix “A” NRMLA’s Policies and Procedures: Code of Ethics Complaints Against Members (As Revised June 16, 2009) The President of NRMLA will receive and review complaints that NRMLA Members have violated the NRMLA Code of Ethics and take action, including referring complaints to the Co-Chairs of the NRMLA Ethics and Standards Committee for consideration by the Committee, pursuant to the following policies and procedures. The President of NRMLA, in consultation with the General Counsel of NRMLA as appropriate, shall have the discretion to vary these procedures when it is determined that to do so would be in the best interests of NRMLA and its Members. These policies and procedures do not confer any rights upon any NRMLA Member or any complainant or third party. I. Source of Complaints A. Complaints May Originate From: 1. Members (including but not limited to the President of NRMLA and the Co-Chairs and Members of the Ethics and Standards Committee), or 2. Non-Members (including consumers) B. Complaints May Be Against: 1. Members, or 2. Non-Members II. Receipt and Review of Complaints A. Complaints initially will be referred to and reviewed by the President of NRMLA. B. NRMLA shall not review or act upon anonymous complaints. (However, in limited circumstances, as described below, NRMLA may respond to complaints without further identifying the complainant.) C. Complaints against Non-Members NRMLA will respond to complaints against Non-Members by informing the complainant that NRMLA is unable to take action in response to such complaints, and, where appropriate, refer the complaining party to an
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