Arbitration & Mediation Notices

Date Title Description
Jul 01, 1998 Notice to Members 98-61
NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees
Jul 01, 1998 Notice to Members 98-56
SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes
Sep 01, 1998 Notice to Members 98-74
SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards
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
Feb 01, 1999 Notice to Members 99-09
NASD Regulation Imposes Moratorium On Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
Mar 01, 1999 Notice to Members 99-23
SEC Approves New Arbitration Fees
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
Sep 28, 1999 Notice to Members 99-84
NASD To Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Oct 25, 1999 Notice to Members 99-90
NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings
Nov 30, 1999 Notice to Members 99-96
SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
Dec 10, 1999 Notice to Members 99-100
SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
Apr 10, 2000 Notice to Members 00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program For A Two-Year Period
Aug 10, 2000 Notice to Members 00-55
NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt
Sep 11, 2000 Notice to Members 00-63
NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
Sep 11, 2000 Notice to Members 00-64
SEC Approves Rule Changes To Amend Mediation Fee Structure
Jan 10, 2001 Notice to Members 01-04
SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
Jan 10, 2001 Notice to Members 01-03
SEC Approves Early Expiration Of Large And Complex Cases Rule
Feb 06, 2001 Notice to Members 01-13
SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
Mar 15, 2001 Notice to Members 01-22
NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
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
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
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
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
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
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