2014 Dispute Resolution Notices

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November 2014

Regulatory Notices
14-49 SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
Effective Date: December 15, 2014
Posted on: 11/14/2014

October 2014

Regulatory Notices
14-42 SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
Posted on: 10/17/2014
14-40 Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Posted on: 10/9/2014

July 2014

Regulatory Notices
14-31 SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
Posted on: 7/30/2014

June 2014

Regulatory Notices
14-27 SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
Posted on: 6/30/2014