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August 2009

Regulatory Notices

09-48 SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases Effective Date: September 14, 2009 Posted on: 8/14/2009

July 2009

Regulatory Notices

09-43 SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes Effective Date: August 31, 2009 Posted on: 7/31/2009

09-36 SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes Effective Date: August 10, 2009 Posted on: 7/10/2009

March 2009

Regulatory Notices

09-16 SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request Effective Date: April 13, 2009

February 2009

Regulatory Notices

09-13 SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000 Effective Date: March 30, 2009 Posted on: 2/27/2009

09-12 Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities Posted on: 2/18/2009

January 2009

Regulatory Notices

09-07 SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration FINRA Imposes Immediate 30-Day Moratorium on Motions to Dismiss; Effective January 23, 2009 Posted on: 1/23/2009

09-04 SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes Effective Date: February 9, 2009 Posted on: 1/9/2009