Arbitration and Mediation Notices

Date of Pub Title Description
Sep 23, 2013 Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Jun 3, 2013 Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
Jan 18, 2013 Regulatory Notice 13-04
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Effective Date: February 18, 2013
Dec 21, 2012 Regulatory Notice 12-57
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Effective Date: January 22, 2013
Jul 6, 2012 Regulatory Notice 12-35
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Effective Date: August 6, 2012
Jun 22, 2012 Regulatory Notice 12-30
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
Effective Date: July 23, 2012
Jun 8, 2012 Regulatory Notice 12-28
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
Effective Date: July 9, 2012
Apr 20, 2012 Regulatory Notice 12-21
SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
Apr 5, 2012 Regulatory Notice 12-18
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expired: May 21, 2012
May 6, 2011 Regulatory Notice 11-23
Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
May 6, 2011 Regulatory Notice 11-22
Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
Apr 15, 2011 Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Effective Date: May 16, 2011
Feb 1, 2011 Regulatory Notice - 11-05
Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
Sep 14, 2010 Regulatory Notice 10-40
Non-Party Witness’ Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
Aug 27, 2010 Regulatory Notice 10-37
Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Effective Date: September 27, 2010
Jul 2, 2010 Regulatory Notice 10-32
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
Apr 1, 2010 Regulatory Notice 10-17
Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
Apr 1, 2010 Regulatory Notice 10-16
Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
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 1, 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