2012 Dispute Resolution Notices

 
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December 2012

Regulatory Notices
12-57 SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Effective Date: January 22, 2013
Posted on: 12/21/2012
 

July 2012

Regulatory Notices
12-35 Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Effective Date: August 6, 2012
Posted on: 7/6/2012
 

June 2012

Regulatory Notices
12-30 SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
Effective Date: July 23, 2012
Posted on: 6/22/2012
12-28 SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
Effective Date: July 9, 2012
Posted on: 6/8/2012
 

May 2012

Regulatory Notices
12-25 Additional Guidance on FINRA’s New Suitability Rule
The answers to questions 6, 7 and 10 have been superseded by the answers provided in Regulatory Notice 12-55.
Implementation Date: July 9, 2012
Posted on: 5/18/2012
 

April 2012

Regulatory Notices
12-21 SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
Posted on: 4/20/2012
12-18 FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expired: May 21, 2012
Posted on: 4/5/2012