2004 Dispute Resolution - Notices to Members

 
February | March | June | July | August
 

August 2004

04-62 SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators;
Effective Date: September 30, 2004
Posted on: 8/17/2004
04-60 SEC Approves Increase to the Arbitrator Panel Training Fee;
Effective Date: September 16, 2004
Posted on: 8/13/2004
04-57 NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
Posted on: 8/9/2004
04-56 SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System;
Effective August 5, 2004
Posted on: 8/5/2004
 

July 2004

04-53 SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings;
Effective Date: August 16, 2004
Posted on: 7/16/2004
 

June 2004

04-49 SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
Effective Date: July 19, 2004
Posted on: 6/18/2004
04-44 Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
Posted on: 6/2/2004
04-43 Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
Posted on: 6/2/2004
 

March 2004

04-16 NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository;
Effective Date: April 12, 2004
Posted on: 3/4/2004
 

February 2004

04-11 NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
Posted on: 2/23/2004