Arbitration & Mediation Notices
| Date | Title | Description |
|---|---|---|
| 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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| Nov 06, 2003 | Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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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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| 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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| 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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| Jan 15, 2003 | Notice to Members 03-06 | NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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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 01, 2003 | Notice to Members 03-03 | NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
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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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| 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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| Sep 11, 2002 | Notice to Members 02-59 | SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
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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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| 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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| Feb 19, 2002 | Notice to Members 02-16 | NASD Dispute Resolution To Consolidate Western Region March 4, 2002
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| Feb 11, 2002 | Notice to Members 02-13 | SEC Approves Permanent Injunctive Relief Rule
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| Jan 29, 2002 | Notice to Members 02-11 | NASD Dispute Resolution Establishes A New Hearing Location In Orlando, Florida, For Arbitration And Mediation Claims Filed In Its Forum
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| Jan 10, 2002 | Notice to Members 02-07 | NASD Regulation Adopts Interpretive Material Prohibiting Interference With The Transfer Of Customer Accounts In The Context Of Employment Disputes
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| Oct 19, 2001 | Notice to Members 01-70 | SEC Approves Increases To Member Surcharges And Process Fees In NASD Arbitration Proceedings, And Other Amendments To Fee-Related Provisions Of The NASD Code of Arbitration Procedure
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| Oct 10, 2001 | Notice to Members 01-65 | NASD Seeks Comment On Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository
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| May 22, 2001 | Notice to Members 01-36 | NASD Regulation, Inc. Requests Comment On Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer Of Customer Accounts
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| May 10, 2001 | Notice to Members 01-29 | SEC Approves Amendments To Prohibit Terminated Or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers In The NASD Arbitration Forum
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| Mar 15, 2001 | Notice to Members 01-22 | NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
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| Feb 06, 2001 | Notice to Members 01-13 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Jan 10, 2001 | Notice to Members 01-04 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Jan 10, 2001 | Notice to Members 01-03 | SEC Approves Early Expiration Of Large And Complex Cases Rule
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