Arbitration and Mediation Notices

Date of Pub Title Description
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
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

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