Arbitration & Mediation Notices
| Date Sort descending | Title | Description |
|---|---|---|
| Feb 11, 2002 | Notice to Members 02-13 | SEC Approves Permanent Injunctive Relief Rule
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| Feb 19, 2002 | Notice to Members 02-16 | NASD Dispute Resolution To Consolidate Western Region March 4, 2002
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| 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
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| Sep 11, 2002 | Notice to Members 02-58 | SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims
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| Sep 11, 2002 | Notice to Members 02-59 | SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
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| Oct 01, 2002 | Notice to Members 02-68 | in California arbitration proceedings must waive contested California arbitrator disclosure standards if all parties who are investors, or associated persons with claims of statutory employment discrimination, have executed waiver agreements
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| Jan 01, 2003 | Notice to Members 03-02 | NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
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| Jan 01, 2003 | Notice to Members 03-03 | NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
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| 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
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| Jan 15, 2003 | Notice to Members 03-06 | NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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| 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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| 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 04-44 | Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
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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 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 05-10 | NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
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