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Printer-Friendly 2003 Dispute Resolution Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission (SEC), with the exception of certain limited types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 (Exchange Act). In addition, some rule filings may be followed by amendments that modify the original filing. If a rule has been approved, the approval order will be found at the end of the link to the rule filing and amendments.

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SR‑NASD‑2003‑164	Three-Day Adjournment Rule
SR‑NASD‑2003‑163	Voluntary Direct Communication Between Parties and Arbitrators
SR‑NASD‑2003‑158	Reorganization and Revision of NASD Rules Relating to Customer Disputes
SR‑NASD‑2003‑153	Amendment to Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR‑NASD‑2003‑151	Online Arbitration Case Filing Pilot Program
SR‑NASD‑2003‑144	Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR‑NASD‑2003‑122	Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants
SR‑NASD‑2003‑106	Amendments to Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons; Immediate Effectiveness Requested
SR‑NASD‑2003‑101	Amendment to Rule 10304 of the NASD Code of Arbitration Procedure Governing Time Limits for Submission of Claims in Arbitration
SR‑NASD‑2003‑095	Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification
SR‑NASD‑2003‑069	Proposed Rule Change Regarding Failure to Pay Arbitration Awards
SR‑NASD‑2003‑064	Extension of Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons with Claims of Statutory Employment Discrimination; Immediate Effectiveness Requested
SR‑NASD‑2003‑001	Refund of Member Surcharges in Arbitration

FINRA Dispute Resolution

2003 Dispute Resolution Rule Filings