1999 Dispute Resolution - Notices to Members

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December 1999

99-100 SEC Approves Creation of Dispute Resolution Subsidiary and Related By-Laws And Rule Changes
Posted on: 12/10/1999
99-096 SEC Approves New Arbitration Disclosure Rule And Procedures for Employment Arbitration;
Effective Date: January 18, 2000
Posted on: 11/30/1999

November 1999

99-90 NASD Regulation Announces New Discovery Guide to be Used in Arbitration Proceedings
Posted on: 10/25/1999

October 1999

99-84 NASD to Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Posted on: 9/28/1999

July 1999

99-54 NASD Regulation Seeks Comment on Issues Relating to Arbitrator-Ordered Expungements of Information From The Central Registration Depository;
Comment Period Expired August 31, 1999

March 1999

99-23 SEC Approves New Arbitration Fees; Effective March 18, 1999

February 1999

99-10 NASD Guidelines for Compliance with New Requirements for Non-California Attorneys Representing Parties in NASD Arbitrations in California
99-09 NASD Regulation Imposes Moratorium on Arbitrator-Ordered Expungements of Information from the Central Registration Depository