Arbitration & Mediation Notices
| Date | Title Sort descending | Description |
|---|---|---|
| Apr 10, 2000 | Notice to Members 00-22 | SEC Approves New Voluntary Single Arbitrator Pilot Program For A Two-Year Period
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| Aug 10, 2000 | Notice to Members 00-55 | NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt
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| Sep 11, 2000 | Notice to Members 00-63 | NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
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| Sep 11, 2000 | Notice to Members 00-64 | SEC Approves Rule Changes To Amend Mediation Fee Structure
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| Jan 10, 2001 | Notice to Members 01-03 | SEC Approves Early Expiration Of Large And Complex Cases Rule
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| Jan 10, 2001 | Notice to Members 01-04 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Feb 06, 2001 | Notice to Members 01-13 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Mar 15, 2001 | Notice to Members 01-22 | NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
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| May 10, 2001 | Notice to Members 01-29 | SEC Approves Amendments To Prohibit Terminated Or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers In The NASD Arbitration Forum
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| May 22, 2001 | Notice to Members 01-36 | NASD Regulation, Inc. Requests Comment On Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer Of Customer Accounts
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| Oct 10, 2001 | Notice to Members 01-65 | NASD Seeks Comment On Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository
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| Oct 19, 2001 | Notice to Members 01-70 | SEC Approves Increases To Member Surcharges And Process Fees In NASD Arbitration Proceedings, And Other Amendments To Fee-Related Provisions Of The NASD Code of Arbitration Procedure
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| Jan 10, 2002 | Notice to Members 02-07 | NASD Regulation Adopts Interpretive Material Prohibiting Interference With The Transfer Of Customer Accounts In The Context Of Employment Disputes
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| Jan 29, 2002 | Notice to Members 02-11 | NASD Dispute Resolution Establishes A New Hearing Location In Orlando, Florida, For Arbitration And Mediation Claims Filed In Its Forum
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| Feb 11, 2002 | Notice to Members 02-13 | SEC Approves Permanent Injunctive Relief Rule
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| Feb 19, 2002 | Notice to Members 02-16 | NASD Dispute Resolution To Consolidate Western Region March 4, 2002
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| Aug 21, 2002 | Notice to Members 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
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| Sep 11, 2002 | Notice to Members 02-58 | SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims
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| Sep 11, 2002 | Notice to Members 02-59 | SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
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| Oct 01, 2002 | Notice to Members 02-68 | in California arbitration proceedings must waive contested California arbitrator disclosure standards if all parties who are investors, or associated persons with claims of statutory employment discrimination, have executed waiver agreements
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| Jan 01, 2003 | Notice to Members 03-02 | NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
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| Jan 01, 2003 | Notice to Members 03-03 | NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
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| Jan 10, 2003 | Notice to Members 03-04 | NASD Solicits Vote on Amendments to the NASD By-Laws Concerning the Definition of Disqualification and Failure to Pay Arbitration Awards
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| Jan 15, 2003 | Notice to Members 03-06 | NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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| Apr 21, 2003 | Notice to Members 03-23 | SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
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| May 15, 2003 | Notice to Members 03-25 | Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003
New Waiver Agreement Form
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| Oct 15, 2003 | Notice to Members 03-64 | New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
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| Nov 06, 2003 | Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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| Feb 23, 2004 | Notice to Members 04-11 | NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
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| Mar 04, 2004 | Notice to Members 04-16 | NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
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| Jun 02, 2004 | Notice to Members 04-43 | Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
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| Jun 02, 2004 | Notice to Members 04-44 | Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
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| Jun 18, 2004 | Notice to Members 04-49 | SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
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| Jul 16, 2004 | Notice to Members 04-53 | SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
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| Aug 05, 2004 | Notice to Members 04-56 | SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
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| Aug 09, 2004 | Notice to Members 04-57 | NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
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| Aug 13, 2004 | Notice to Members 04-60 | SEC Approves Increase to the Arbitrator Panel Training Fee
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| Aug 17, 2004 | Notice to Members 04-62 | SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
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| Jan 31, 2005 | Notice to Members 05-09 | NASD Amends Rule Governing Predispute Arbitration with Customers (The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005.)
The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf |
| Jan 31, 2005 | Notice to Members 05-10 | NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
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| Apr 27, 2005 | Notice to Members 05-32 | SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
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| May 05, 2005 | Notice to Members 05-35 | SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
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| May 06, 2005 | Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
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| Aug 26, 2005 | Notice to Members 05-55 | SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
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| Dec 21, 2005 | Notice to Members 05-82 | SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Effective Date: January 17, 2006
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| Dec 30, 2005 | Notice to Members 05-85 | SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Effective January 30, 2006
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| Sep 05, 2006 | Notice to Members 06-49 | NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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| Nov 15, 2006 | Notice to Members 06-64 | SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
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| Feb 15, 2007 | Notice to Members 07-07 | SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Effective Date: April 16, 2007
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| Mar 02, 2007 | Notice to Members 07-13 | SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators
Effective Date: April 2, 2007
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| Jul 01, 1998 | Notice to Members 98-56 | SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes
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| Jul 01, 1998 | Notice to Members 98-61 | NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees
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| 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
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| Feb 01, 1999 | Notice to Members 99-09 | NASD Regulation Imposes Moratorium On Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
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| 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
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| Dec 10, 1999 | Notice to Members 99-100 | SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
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| Mar 01, 1999 | Notice to Members 99-23 | SEC Approves New Arbitration Fees
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| 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
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| Sep 28, 1999 | Notice to Members 99-84 | NASD To Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
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| Oct 25, 1999 | Notice to Members 99-90 | NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings
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| Nov 30, 1999 | Notice to Members 99-96 | SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
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| Feb 01, 2011 | Regulatory Notice - 11-05 | Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
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| 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
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| 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
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| 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
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| Aug 25, 2008 | Regulatory Notice 08-45 | FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
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| Oct 24, 2008 | Regulatory Notice 08-62 | SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
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| Dec 15, 2008 | Regulatory Notice 08-79 | SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
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| 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
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| 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
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| Feb 18, 2009 | Regulatory Notice 09-12 | Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
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| 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
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| 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
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| 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
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| 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
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| Jul 31, 2009 | Regulatory Notice 09-43 | SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Effective Date: August 31, 2009
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| Aug 14, 2009 | Regulatory Notice 09-48 | SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
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| Dec 18, 2009 | Regulatory Notice 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
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| Feb 19, 2010 | Regulatory Notice 10-11 | Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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| Apr 01, 2010 | Regulatory Notice 10-16 | Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Effective Date: May 3, 2010
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| Apr 01, 2010 | Regulatory Notice 10-17 | Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
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| Jul 02, 2010 | Regulatory Notice 10-32 | SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
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| Aug 27, 2010 | Regulatory Notice 10-37 | Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Effective Date: September 27, 2010
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| Sep 14, 2010 | Regulatory Notice 10-40 | Non-Party Witness' Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
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| Apr 15, 2011 | Regulatory Notice 11-17 | Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Effective Date: May 16, 2011
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| May 06, 2011 | Regulatory Notice 11-22 | Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
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| May 06, 2011 | Regulatory Notice 11-23 | Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
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| Apr 05, 2012 | Regulatory Notice 12-18 | on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expires: May 21, 2012
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| Apr 20, 2012 | Regulatory Notice 12-21 | SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
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| Jun 08, 2012 | Regulatory Notice 12-28 | SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
Effective Date: July 9, 2012
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| Jun 22, 2012 | Regulatory Notice 12-30 | SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
Effective Date: July 23, 2012
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| Jul 06, 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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| 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
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| 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
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| Jun 03, 2013 | Regulatory Notice 13-21 | SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
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| Sep 23, 2013 | Regulatory Notice 13-30 | SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Effective Date: September 30, 2013
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| 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
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| 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
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| 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
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| Oct 09, 2014 | Regulatory Notice 14-40 | Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
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