Arbitration & Mediation Notices

Date Title Description
Jul 01, 1998 Notice to Members 98-56
SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes
Jul 01, 1998 Notice to Members 98-61
NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees
Sep 01, 1998 Notice to Members 98-74
SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards
Feb 01, 1999 Notice to Members 99-09
NASD Regulation Imposes Moratorium On Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
Feb 01, 1999 Notice to Members 99-10
NASD Guidelines For Compliance With New Requirements For Non-California Attorneys Representing Parties In NASD Arbitrations In California
Dec 10, 1999 Notice to Members 99-100
SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
Mar 01, 1999 Notice to Members 99-23
SEC Approves New Arbitration Fees
Jul 01, 1999 Notice to Members 99-54
NASD Regulation Seeks Comment On Issues Relating To Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
Sep 28, 1999 Notice to Members 99-84
NASD To Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Oct 25, 1999 Notice to Members 99-90
NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings
Nov 30, 1999 Notice to Members 99-96
SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
Feb 01, 2011 Regulatory Notice - 11-05
Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
Nov 23, 2007 Regulatory Notice 07-57
SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Effective Date: December 24, 2007
May 09, 2008 Regulatory Notice 08-22
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Effective June 9, 2008
Aug 22, 2008 Regulatory Notice 08-44
SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Effective Date: September 22, 2008
Aug 25, 2008 Regulatory Notice 08-45
FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
Oct 24, 2008 Regulatory Notice 08-62
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
Dec 15, 2008 Regulatory Notice 08-79
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
Jan 09, 2009 Regulatory Notice 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
Jan 23, 2009 Regulatory Notice 09-07
SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
Effective Date: January 23, 2009
Feb 18, 2009 Regulatory Notice 09-12
Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
Feb 27, 2009 Regulatory Notice 09-13
SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Effective Date: March 30, 2009
Mar 01, 2009 Regulatory Notice 09-16
SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
Effective Date: April 13, 2009
May 15, 2009 Regulatory Notice 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
Jul 10, 2009 Regulatory Notice 09-36
SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Effective Date: August 10, 2009