2003 Dispute Resolution - Notices to Members

January | May | October | November

November 2003

03-70 NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Posted on: 11/6/2003

October 2003

03-64 New Arbitrator Applicants Must Undergo Background Verification and Pay Fee;
Effective October 1, 2003
Posted on: 10/15/2003

May 2003

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
Posted on: 5/15/2003
03-23 SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
Posted on: 4/21/2003

January 2003

03-06 NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
Posted on: 1/15/2003
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
Posted on: 1/10/2003
03-03 NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
Posted on: 12/31/2002
03-02 NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
Posted on: 12/27/2002