2001 Dispute Resolution - Notices to Members

 
January | February | April | May | June | October | November
 

November 2001

01-70 SEC Approves Increases to Member Surcharges and Process Fees in NASD Arbitration Proceedings, and Other Amendments to Fee-Related Provisions of The NASD Code of Arbitration Procedure
Posted on: 10/19/2001
 

October 2001

01-65 NASD Seeks Comment on Proposed Rules and Policies Relating to Expungement of Information from the Central Registration Depository;
Comment Period Expired December 31, 2001
Posted on: 10/10/2001
 

June 2001

01-36 NASD Regulation Requests Comment on Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer of Customer Accounts;
Comment Period Expired July 6, 2001
Posted on: 5/22/2001
 

May 2001

01-29 SEC Approves Amendments to Prohibit Terminated or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers in the NASD Arbitration Forum;
Effective Date: June 11, 2001
Posted on: 5/10/2001
 

April 2001

01-22 NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
Posted on: 3/16/2001
 

February 2001

01-13 SEC Approves Amendments to Director's Authority to Remove Arbitrators For Cause;
Effective Date: March 8, 2001
Posted on: 2/6/2001
 

January 2001

01-04 SEC Approves Amendments to Director's Authority to Remove Arbitrators for Cause;
Effective Date: February 12, 2001 Superseded by NTM 01-13 (eff. March 8, 2001)
Posted on: 1/10/2001
01-03 SEC Approves Early Expiration of Large and Complex Cases Rule;
Effective Date: December 31, 2000
Posted on: 1/10/2001