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Arbitration & Mediation Notices

Date Sort ascending Title Description
Apr 01, 2010 Regulatory Notice 10-17
Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
Feb 19, 2010 Regulatory Notice 10-11
Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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
Aug 14, 2009 Regulatory Notice 09-48
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
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
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
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
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
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
Feb 18, 2009 Regulatory Notice 09-12
Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
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
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
Dec 15, 2008 Regulatory Notice 08-79
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
Oct 24, 2008 Regulatory Notice 08-62
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
Aug 25, 2008 Regulatory Notice 08-45
FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
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
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
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
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
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
Nov 15, 2006 Notice to Members 06-64
SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
Sep 05, 2006 Notice to Members 06-49
NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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
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
Aug 26, 2005 Notice to Members 05-55
SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions