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November 2007

Regulatory Notices

07-57 SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation Effective Date: December 24, 2007 Posted on: 11/23/2007

March 2007

07-13 SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators; Effective Date: April 2, 2007 Posted on: 3/2/2007

February 2007

07-07 SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure; Effective Date: April 16, 2007 Posted on: 2/15/2007