Arbitration & Mediation Notices
| Date | Title | Description |
|---|---|---|
| Feb 19, 2010 | Regulatory Notice 10-11 | Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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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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| 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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| 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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| Jul 10, 2009 | Regulatory Notice 09-36 | SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Effective Date: August 10, 2009
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| May 15, 2009 | Regulatory Notice 09-23 | SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
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| Mar 01, 2009 | Regulatory Notice 09-16 | SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
Effective Date: April 13, 2009
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| Feb 27, 2009 | Regulatory Notice 09-13 | SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Effective Date: March 30, 2009
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| Feb 18, 2009 | Regulatory Notice 09-12 | Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
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| Jan 23, 2009 | Regulatory Notice 09-07 | SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
Effective Date: January 23, 2009
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| Jan 09, 2009 | Regulatory Notice 09-04 | SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
Effective Date: February 9, 2009
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| Dec 15, 2008 | Regulatory Notice 08-79 | SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
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| Oct 24, 2008 | Regulatory Notice 08-62 | SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
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| Aug 25, 2008 | Regulatory Notice 08-45 | FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
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| Aug 22, 2008 | Regulatory Notice 08-44 | SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Effective Date: September 22, 2008
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| May 09, 2008 | Regulatory Notice 08-22 | SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Effective June 9, 2008
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| Nov 23, 2007 | Regulatory Notice 07-57 | SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Effective Date: December 24, 2007
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| Feb 01, 2011 | Regulatory Notice - 11-05 | Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
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| Nov 30, 1999 | Notice to Members 99-96 | SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
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| Oct 25, 1999 | Notice to Members 99-90 | NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings
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| Sep 28, 1999 | Notice to Members 99-84 | NASD To Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
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| Jul 01, 1999 | Notice to Members 99-54 | NASD Regulation Seeks Comment On Issues Relating To Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
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| Mar 01, 1999 | Notice to Members 99-23 | SEC Approves New Arbitration Fees
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| Dec 10, 1999 | Notice to Members 99-100 | SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
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| Feb 01, 1999 | Notice to Members 99-10 | NASD Guidelines For Compliance With New Requirements For Non-California Attorneys Representing Parties In NASD Arbitrations In California
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