Notices

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
Monday, June 08, 2015
Regulatory Notice 15-18
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Wednesday, May 27, 2015
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
Friday, November 14, 2014
Regulatory Notice 14-42
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Friday, October 17, 2014
Regulatory Notice 14-40
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Thursday, October 09, 2014
Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Wednesday, July 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
Monday, June 30, 2014
Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Monday, September 23, 2013
Regulatory Notice 13-40
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Friday, November 15, 2013
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
Friday, December 21, 2012
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
Friday, January 18, 2013
Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Monday, June 03, 2013
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
Friday, June 08, 2012
Regulatory Notice 12-30
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
Friday, June 22, 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
Friday, July 06, 2012
Regulatory Notice 12-18
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Thursday, April 05, 2012
Regulatory Notice 12-21
SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Friday, April 20, 2012
Regulatory Notice 11-22
Arbitration Panel Composition for Promissory Note Disputes
Friday, May 06, 2011
Regulatory Notice 11-23
Five-Day Period for Replies to Responses to Motions in Arbitration
Friday, May 06, 2011
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Friday, April 15, 2011
Regulatory Notice - 11-05
Customer Option to Choose an All Public Arbitration Panel in All Cases
Tuesday, February 01, 2011
Regulatory Notice 10-16
Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Thursday, April 01, 2010
Regulatory Notice 10-17
Amendments to the Arbitration Rules on Hearing Locations
Thursday, April 01, 2010
Regulatory Notice 10-32
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Friday, July 02, 2010
Regulatory Notice 10-37
Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Friday, August 27, 2010