Arbitration and Mediation Notices

Date of Pub Title Description
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
Mar 4, 2004 Notice to Members 04-16
NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
Effective Date: April 12, 2004
Feb 23, 2004 Notice to Members 04-11
NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
Nov 6, 2003 Notice to Members 03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Oct 15, 2003 Notice to Members 03-64
New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
Effective October 1, 2003
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
Effective March 31, 2003
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
Jan 15, 2003 Notice to Members 03-06
NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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
Last Voting Date: February 10, 2003
Jan 1, 2003 Notice to Members 03-03
NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
Jan 1, 2003 Notice to Members 03-02
NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
Oct 1, 2002 Notice to Members 02-68
SEC Approves Rule Change to IM-10100
Sep 11, 2002 Notice to Members 02-59
SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
Effective October 14, 2002
Sep 11, 2002 Notice to Members 02-58
SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims
Effective October 14, 2002
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
Feb 19, 2002 Notice to Members 02-16
NASD Dispute Resolution to Consolidate Western Region March 4, 2002
Feb 11, 2002 Notice to Members 02-13
SEC Approves Permanent Injunctive Relief Rule
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
Jan 10, 2002 Notice to Members 02-07
NASD Adopts Interpretive Material Prohibiting Interference with the Transfer of Customer Accounts in the Context of Employment Disputes
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
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
Comment Period Expired December 31, 2001
May 22, 2001 Notice to Members 01-36
NASD Regulation Requests Comment on Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer of Customer Accounts
Comment Period Expired July 6, 2001
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
Effective Date: June 11, 2001

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