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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