Arbitration & Mediation Notices
| Date | Title | Description |
|---|---|---|
| Apr 21, 2021 | Regulatory Notice 21-16 | FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
|
| Mar 16, 2022 | Regulatory Notice 22-09 | FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties
Comment Period Expires: May 16, 2022
|
| Aug 11, 2023 | Regulatory Notice 23-12 | FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
Effective Date: October 16, 2023
|
| Feb 06, 2024 | Regulatory Notice 24-03 | Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
Effective Date: March 4, 2024
|