Dispute Resolution Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2010-036 Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding
SR-NASD-2005-046 Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
SR-FINRA-2010-007 Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution
SR-NASD-2005-007 Proposed Rule Change to Amend the Code of Arbitration Procedure by Adopting a New Interpretive Material (IM) 10308 on Mediators Serving as Arbitrators
SR-FINRA-2015-003 Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
SR-FINRA-2014-026 Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
SR-FINRA-2009-003 Proposed Rule Change to Amend the Customer and Industry Codes
SR-FINRA-2011-006 Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice
SR-FINRA-2017-009 Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
SR-FINRA-2011-007 Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing
SR-FINRA-2009-041 Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim
SR-FINRA-2010-035 Proposed Rule Change to Amend the Discovery Guide and to MakeOther Conforming Changes to Rules in the Arbitration Codes
SR-FINRA-2008-024 Proposed Rule Change to Amend the Discovery Guide to Update the Document Production Lists
SR-FINRA-2013-024 Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings
SR-FINRA-2009-076 Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
SR-FINRA-2011-067 Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration
SR-FINRA-2009-011 Proposed Rule Change to Amend the Industry Code to Change the Criteria for Determining the Panel Composition When the Claim Involves an Associated Person in Industry Disputes
SR-NASD-1998-048 Proposed Rule Change to Amend the Method of Selecting Arbitrators in Customer Disputes
SR-FINRA-2010-053 Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (“Customer Code”), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases
SR-FINRA-2018-019 Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
SR-FINRA-2018-012 Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-NASD-2004-180 Proposed Rule Change to Extend the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the California Waiver Program Until September 30, 2005
SR-FINRA-2015-034 Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
SR-NASD-2006-101 Proposed Rule Change to Provide for the Payment of a $200 Honorarium Per Case for each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas.
SR-NASD-2005-052 Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing

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