Arbitration and Mediation Notices

Date of Pub Title Description
Dec 6, 2017 Regulatory Notice 17-42
FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information
Comment Period Expires: February 5, 2018
Oct 18, 2017 Regulatory Notice 17-34
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Comment Period Expires: December 18, 2017
Oct 18, 2017 Regulatory Notice 17-33
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Comment Period Expires: December 18, 2017
Oct 4, 2017 Regulatory Notice 17-29
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Effective Date: October 9, 2017
Aug 18, 2017 Regulatory Notice 17-25
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Effective Date: September 18, 2017
Jan 3, 2017 Regulatory Notice 17-04
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
Effective Date: January 9, 2017
Jan 3, 2017 Regulatory Notice 17-03
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
Effective Date: April 3, 2017
Jan 3, 2017 Regulatory Notice 17-02
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
Effective Date: January 23, 2017
Dec 1, 2016 Regulatory Notice 16-44
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
Effective Date: January 3, 2017
Sep 26, 2016 Regulatory Notice 16-36
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
Jul 22, 2016 Regulatory Notice 16-25
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Jan 15, 2016 Regulatory Notice 16-04
SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc.
Effective Date: December 20, 2015
Jun 8, 2015 Regulatory Notice 15-21
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
Effective Date: July 6, 2015
May 27, 2015 Regulatory Notice 15-18
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Effective Date: June 26, 2015
Nov 14, 2014 Regulatory Notice 14-49
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
Effective Date: December 15, 2014
Oct 17, 2014 Regulatory Notice 14-42
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
Oct 9, 2014 Regulatory Notice 14-40
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Jul 30, 2014 Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
Jun 30, 2014 Regulatory Notice 14-27
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
Nov 15, 2013 Regulatory Notice 13-40
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Effective Date: December 2, 2013
Sep 23, 2013 Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Jun 3, 2013 Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
Jan 18, 2013 Regulatory Notice 13-04
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Effective Date: February 18, 2013
Dec 21, 2012 Regulatory Notice 12-57
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Effective Date: January 22, 2013
Jul 6, 2012 Regulatory Notice 12-35
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Effective Date: August 6, 2012

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