2002 Dispute Resolution - Notices to Members

January | February | March | August | September | October

October 2002

02-68 SEC Approves Rule Change to IM-10100
Posted on: 10/1/2002

September 2002

02-59 SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers;
Effective October 14, 2002
Posted on: 9/11/2002
02-58 SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims;
Effective October 14, 2002
Posted on: 9/11/2002

August 2002

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
Posted on: 8/21/2002

March 2002

02-16 NASD Dispute Resolution to Consolidate Western Region March 4, 2002
Posted on: 2/19/2002

February 2002

02-13 SEC Approves Permanent Injunctive Relief Rule
Posted on: 2/11/2002
02-11 NASD Dispute Resolution Establishes a New Hearing Location in Orlando, Florida, for Arbitration and Mediation Claims Filed in Its Forum
Posted on: 1/29/2002

January 2002

02-07 NASD Adopts Interpretive Material Prohibiting Interference with the Transfer of Customer Accounts in the Context of Employment Disputes
Posted on: 1/10/2002