Arbitration & Mediation Notices
| Date | Title | Description |
|---|---|---|
| Jul 31, 2009 | Regulatory Notice 09-43 | SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Effective Date: August 31, 2009
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| Aug 14, 2009 | Regulatory Notice 09-48 | SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
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| Dec 18, 2009 | Regulatory Notice 09-74 | SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Effective Date: January 18, 2010
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| Feb 19, 2010 | Regulatory Notice 10-11 | Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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| Apr 01, 2010 | Regulatory Notice 10-16 | Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Effective Date: May 3, 2010
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| Apr 01, 2010 | Regulatory Notice 10-17 | Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
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| Jul 02, 2010 | Regulatory Notice 10-32 | SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
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| Aug 27, 2010 | Regulatory Notice 10-37 | Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Effective Date: September 27, 2010
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| Sep 14, 2010 | Regulatory Notice 10-40 | Non-Party Witness' Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
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| Apr 15, 2011 | Regulatory Notice 11-17 | Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Effective Date: May 16, 2011
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| May 06, 2011 | Regulatory Notice 11-22 | Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
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| May 06, 2011 | Regulatory Notice 11-23 | Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
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| Apr 05, 2012 | Regulatory Notice 12-18 | on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expires: May 21, 2012
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| 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
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| Jun 08, 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
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| 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
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| Jul 06, 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
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| 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
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| 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
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| Jun 03, 2013 | Regulatory Notice 13-21 | SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
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| Sep 23, 2013 | Regulatory Notice 13-30 | SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Effective Date: September 30, 2013
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| 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
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| 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
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| 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
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| Oct 09, 2014 | Regulatory Notice 14-40 | Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
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