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Arbitration & Mediation Notices

Date Title Description
May 15, 2003 Notice to Members 03-25
Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003
New Waiver Agreement Form
Oct 15, 2003 Notice to Members 03-64
New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
Nov 06, 2003 Notice to Members 03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Feb 23, 2004 Notice to Members 04-11
NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
Mar 04, 2004 Notice to Members 04-16
NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
Jun 02, 2004 Notice to Members 04-43
Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
Jun 02, 2004 Notice to Members 04-44
Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
Jun 18, 2004 Notice to Members 04-49
SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
Jul 16, 2004 Notice to Members 04-53
SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
Aug 05, 2004 Notice to Members 04-56
SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
Aug 09, 2004 Notice to Members 04-57
NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
Aug 13, 2004 Notice to Members 04-60
SEC Approves Increase to the Arbitrator Panel Training Fee
Aug 17, 2004 Notice to Members 04-62
SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
Jan 31, 2005 Notice to Members 05-09
NASD Amends Rule Governing Predispute Arbitration with Customers (The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005.)

The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf

Jan 31, 2005 Notice to Members 05-10
NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
Apr 27, 2005 Notice to Members 05-32
SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
May 05, 2005 Notice to Members 05-35
SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
May 06, 2005 Notice to Members 05-36
SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
Aug 26, 2005 Notice to Members 05-55
SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
Dec 21, 2005 Notice to Members 05-82
SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Effective Date: January 17, 2006
Dec 30, 2005 Notice to Members 05-85
SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Effective January 30, 2006
Sep 05, 2006 Notice to Members 06-49
NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
Nov 15, 2006 Notice to Members 06-64
SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
Feb 15, 2007 Notice to Members 07-07
SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Effective Date: April 16, 2007
Mar 02, 2007 Notice to Members 07-13
SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators
Effective Date: April 2, 2007