Arbitration & Mediation Notices
Date | Title | Description |
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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
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Oct 15, 2003 | Notice to Members 03-64 | New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
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Nov 06, 2003 | Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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Feb 23, 2004 | Notice to Members 04-11 | NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
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Mar 04, 2004 | Notice to Members 04-16 | NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
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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
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Jun 02, 2004 | Notice to Members 04-44 | Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
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Jun 18, 2004 | Notice to Members 04-49 | SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
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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
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Aug 05, 2004 | Notice to Members 04-56 | SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
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Aug 09, 2004 | Notice to Members 04-57 | NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
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Aug 13, 2004 | Notice to Members 04-60 | SEC Approves Increase to the Arbitrator Panel Training Fee
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Aug 17, 2004 | Notice to Members 04-62 | SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
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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
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Apr 27, 2005 | Notice to Members 05-32 | SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
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May 05, 2005 | Notice to Members 05-35 | SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
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May 06, 2005 | Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
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Aug 26, 2005 | Notice to Members 05-55 | SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
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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
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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
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Sep 05, 2006 | Notice to Members 06-49 | NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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Nov 15, 2006 | Notice to Members 06-64 | SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
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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
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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
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