Arbitration and Mediation Notices

Date of Pub Title Description
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 9, 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 2, 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 5, 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
Effective Date: September 26, 2005
May 6, 2005 Notice to Members 05-36
SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
Effective Date: May 6, 2005
May 5, 2005 Notice to Members 05-35
SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
Effective June 6, 2005
Apr 27, 2005 Notice to Members 05-32
SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
Jan 31, 2005 Notice to Members 05-10
NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
Effective Date: May 1, 2005
Jan 31, 2005 Notice to Members 05-09
NASD Amends Rule Governing Predispute Arbitration Agreements with Customers
Effective Date: May 1, 2005
The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf
Aug 17, 2004 Notice to Members 04-62
SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
Effective Date: September 30, 2004
Aug 13, 2004 Notice to Members 04-60
SEC Approves Increase to the Arbitrator Panel Training Fee
Effective Date: September 16, 2004
Aug 9, 2004 Notice to Members 04-57
NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
Aug 5, 2004 Notice to Members 04-56
SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
Effective August 5, 2004
Jul 16, 2004 Notice to Members 04-53
SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
Effective Date: August 16, 2004
Jun 18, 2004 Notice to Members 04-49
SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
Effective Date: July 19, 2004
Jun 2, 2004 Notice to Members 04-44
Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
Jun 2, 2004 Notice to Members 04-43
Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130

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