2008 Dispute Resolution Notices

 
May | August | October | December
 

December 2008

Regulatory Notices
08-79 SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
Posted on: 12/15/2008
 

October 2008

Regulatory Notices
08-62 SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases
Effective Date: November 24, 2008
Posted on: 10/24/2008
 

August 2008

Regulatory Notices
08-45 FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
Posted on: 8/25/2008
08-44 SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Effective Date: September 22, 2008
Posted on: 8/22/2008
 

May 2008

Regulatory Notices
08-22 SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Effective June 9, 2008
Posted on: 5/9/2008