2009 Dispute Resolution Notices

January | February | March | May | July | August | December

December 2009

Regulatory Notices
09-74 SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Effective Date: January 18, 2010
Posted on: 12/18/2009

August 2009

Regulatory Notices
09-48 SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
Posted on: 8/14/2009

July 2009

Regulatory Notices
09-43 SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Effective Date: August 31, 2009
Posted on: 7/31/2009
09-36 SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Effective Date: August 10, 2009
Posted on: 7/10/2009

May 2009

Regulatory Notices
09-23 SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
Posted on: 5/15/2009

March 2009

Regulatory Notices
09-16 SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
Effective Date: April 13, 2009

February 2009

Regulatory Notices
09-13 SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Effective Date: March 30, 2009
Posted on: 2/27/2009
09-12 Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
Posted on: 2/18/2009

January 2009

Regulatory Notices
09-07 SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
FINRA Imposes Immediate 30-Day Moratorium on Motions to Dismiss; Effective January 23, 2009
Posted on: 1/23/2009
09-04 SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
Effective Date: February 9, 2009
Posted on: 1/9/2009