FINRA - Arbitration & Mediation - 2005 Rule Filings & Guidance

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Printer-Friendly 2005 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‑2005‑094	Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure Relating to the Classification of Arbitrators
SR‑NASD‑2005‑079	Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances
SR‑NASD‑2005‑070	Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
SR‑NASD‑2005‑052	Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing
SR‑NASD‑2005‑046	Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
SR‑NASD‑2005‑032	Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons
SR‑NASD‑2005‑023	Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation
SR‑NASD‑2005‑007	Proposed Rule Change to Amend the Code of Arbitration Procedure by Adopting a New Interpretive Material (IM) 10308 on Mediators Serving as Arbitrators

FINRA Dispute Resolution

2005 Dispute Resolution Rule Filings