Regulatory Notice 09-43

SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes

Effective Date: August 31, 2009

Effective August 31, 2009, the criteria for determining the panel composition for an arbitration when the claim involves an associated person will change. The amendment to the Arbitration Code for Industry Disputes will apply to claims filed on or after the effective date.

The text of the amendment is set forth in Attachment A.

Questions concerning this Notice should be directed to:

  • Kenneth L. Andrichik, Senior Vice President, Chief Counsel and Director of Mediation and Strategy, Dispute Resolution, at (212) 858-3915 or by email; or
  • Mignon McLemore, Assistant Chief Counsel, Dispute Resolution, at (202) 728-8151 or by email.