2013 Dispute Resolution Notices

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November 2013

Regulatory Notices
13-40 SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Effective Date: December 2, 2013
Posted on: 11/15/2013

September 2013

Regulatory Notices
13-30 SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Posted on: 9/23/2013

June 2013

Regulatory Notices
13-21 SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
Posted on: 6/3/2013

January 2013

Regulatory Notices
13-04 SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Effective Date: February 18, 2013
Posted on: 1/18/2013