Dispute Resolution Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2008-005 Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
SR-FINRA-2007-042 Proposed Rule Change to Amend Rule 12302 of the Customer Code and Rule 13302 of the Industry Code to Remove the Page Limit on Statements of Claim Filed through the Online Arbitration Claim Filing System
SR-FINRA-2007-021 The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
SR-NASD-2007-038 The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes
SR-NASD-2007-026 Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes
SR-NASD-2007-022 The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved
SR-NASD-2007-021 The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation
SR-NASD-2006-136 The Proposed Rule Change Removes Unnecessary Cross References and Corrects a Grammatical Error in Rule 10308(a)(5)(B)
SR-NASD-2006-109 The Proposed Rule Change Amends the Proposed Code of Arbitration Procedure for Customer Disputes and the Proposed Code of Arbitration Procedure for Industry Disputes and the NASD Code of Arbitration Procedure to Address Representation of Parties in Arbitration and Mediation.
SR-NASD-2006-102 Proposed Rule Change to Amend Rule 10326 of the NASD Code of Arbitration Procedure to Allow for the Digital Recording of Arbitration Hearings.
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-2006-088 A Proposed Rule Change to Adopt Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes ("Industry Code") to Address Motions to Decide Claims Before a Hearing on the Merits.
SR-NASD-2005-094 Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure Relating to the Classification of Arbitrators
SR-NASD-2005-079 Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances
SR-NASD-2005-070 Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
SR-NASD-2005-052 Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing
SR-NASD-2005-046 Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
SR-NASD-2005-032 Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons
SR-NASD-2005-023 Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation
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-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-NASD-2004-164 Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure to Change the Method Used by the Neutral List Selection System
SR-NASD-2004-126 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2004-122 Arbitrator Web Literacy
SR-NASD-2004-088 Discovery Sanctions Rule; Accelerated Effectiveness Requested

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