Arbitration and Mediation Notices

Date of Pubsort ascending Title Description
Sep 26, 2016 Regulatory Notice 16-36
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
Jul 22, 2016 Regulatory Notice 16-25
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Jan 15, 2016 Regulatory Notice 16-04
SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc.
Effective Date: December 20, 2015
Jun 8, 2015 Regulatory Notice 15-21
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
Effective Date: July 6, 2015
May 27, 2015 Regulatory Notice 15-18
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Effective Date: June 26, 2015
Nov 14, 2014 Regulatory Notice 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
Oct 17, 2014 Regulatory Notice 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
Oct 9, 2014 Regulatory Notice 14-40
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Jul 30, 2014 Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
Jun 30, 2014 Regulatory Notice 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
Nov 15, 2013 Regulatory Notice 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
Sep 23, 2013 Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Jun 3, 2013 Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
Jan 18, 2013 Regulatory Notice 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
Dec 21, 2012 Regulatory Notice 12-57
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Effective Date: January 22, 2013
Jul 6, 2012 Regulatory Notice 12-35
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Effective Date: August 6, 2012
Jun 22, 2012 Regulatory Notice 12-30
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
Effective Date: July 23, 2012
Jun 8, 2012 Regulatory Notice 12-28
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
Effective Date: July 9, 2012
Apr 20, 2012 Regulatory Notice 12-21
SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
Apr 5, 2012 Regulatory Notice 12-18
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expired: May 21, 2012
May 6, 2011 Regulatory Notice 11-23
Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
May 6, 2011 Regulatory Notice 11-22
Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
Apr 15, 2011 Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Effective Date: May 16, 2011
Feb 1, 2011 Regulatory Notice - 11-05
Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
Sep 14, 2010 Regulatory Notice 10-40
Non-Party Witness’ Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010