Arbitration and Mediation Notices

Date of Pub Titlesort descending Description
Apr 10, 2000 Notice to Members 00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period
Effective Date: May 15, 2000
Aug 10, 2000 Notice to Members 00-55
NASD Dispute Resolution Will Require Firms to Certify in Writing That They Have Complied with Arbitration Awards Within 30 Days of Receipt
Effective Date: September 18, 2000
Sep 11, 2000 Notice to Members 00-63
NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
Sep 11, 2000 Notice to Members 00-64
SEC Approves Rule Changes to Amend Mediation Fee Structure
Effective Date: November 1, 2000
Jan 10, 2001 Notice to Members 01-03
SEC Approves Early Expiration of Large and Complex Cases Rule
Effective Date: December 31, 2000
Jan 10, 2001 Notice to Members 01-04
SEC Approves Amendments to Director's Authority to Remove Arbitrators for Cause
Effective Date: February 12, 2001 Superseded by NTM 01-13 (eff. March 8, 2001)
Feb 6, 2001 Notice to Members 01-13
SEC Approves Amendments to Director's Authority to Remove Arbitrators For Cause
Effective Date: March 8, 2001
Mar 15, 2001 Notice to Members 01-22
NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
May 10, 2001 Notice to Members 01-29
SEC Approves Amendments to Prohibit Terminated or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers in the NASD Arbitration Forum
Effective Date: June 11, 2001
May 22, 2001 Notice to Members 01-36
NASD Regulation Requests Comment on Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer of Customer Accounts
Comment Period Expired July 6, 2001
Oct 10, 2001 Notice to Members 01-65
NASD Seeks Comment on Proposed Rules and Policies Relating to Expungement of Information from the Central Registration Depository
Comment Period Expired December 31, 2001
Oct 19, 2001 Notice to Members 01-70
SEC Approves Increases to Member Surcharges and Process Fees in NASD Arbitration Proceedings, and Other Amendments to Fee-Related Provisions of The NASD Code of Arbitration Procedure
Jan 10, 2002 Notice to Members 02-07
NASD Adopts Interpretive Material Prohibiting Interference with the Transfer of Customer Accounts in the Context of Employment Disputes
Jan 29, 2002 Notice to Members 02-11
NASD Dispute Resolution Establishes a New Hearing Location in Orlando, Florida, for Arbitration and Mediation Claims Filed in Its Forum
Feb 11, 2002 Notice to Members 02-13
SEC Approves Permanent Injunctive Relief Rule
Feb 19, 2002 Notice to Members 02-16
NASD Dispute Resolution to Consolidate Western Region March 4, 2002
Aug 21, 2002 Notice to Members 02-53
NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD; Revises Letters Sent When Determination Made to Close an Investigation Without Further Action
Sep 11, 2002 Notice to Members 02-58
SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims
Effective October 14, 2002
Sep 11, 2002 Notice to Members 02-59
SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
Effective October 14, 2002
Oct 1, 2002 Notice to Members 02-68
SEC Approves Rule Change to IM-10100
Jan 1, 2003 Notice to Members 03-02
NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
Jan 1, 2003 Notice to Members 03-03
NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
Jan 10, 2003 Notice to Members 03-04
NASD Solicits Vote on Amendments to the NASD By-Laws Concerning the Definition of Disqualification and Failure to Pay Arbitration Awards
Last Voting Date: February 10, 2003
Jan 15, 2003 Notice to Members 03-06
NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
Apr 21, 2003 Notice to Members 03-23
SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims

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