Notices

Notice to Members 05-35
SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
Thursday, May 05, 2005
Notice to Members 05-36
SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
Friday, May 06, 2005
Notice to Members 05-55
SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
Friday, August 26, 2005
Notice to Members 04-62
SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators;
Tuesday, August 17, 2004
Notice to Members 05-09
NASD Amends Rule Governing Predispute Arbitration Agreements with Customers
Monday, January 31, 2005
Notice to Members 05-10
NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
Monday, January 31, 2005
Notice to Members 04-53
SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
Friday, July 16, 2004
Notice to Members 04-56
SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System;
Thursday, August 05, 2004
Notice to Members 04-57
NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
Monday, August 09, 2004
Notice to Members 04-60
SEC Approves Increase to the Arbitrator Panel Training Fee;
Friday, August 13, 2004
Notice to Members 98-61
NASD Members Face CRD Account Deduction or Membership Cancellation for Non-payment of Arbitration Fees
Wednesday, July 01, 1998
Notice to Members 99-23
SEC Approves New Arbitration Fees; Effective March 18, 1999
Monday, March 01, 1999
Notice to Members 98-56
SEC Approves Rule Change Regarding Arbitration of Statutory Employment Disputes; Effective January 1, 1999
Wednesday, July 01, 1998
Notice to Members 99-10
NASD Guidelines for Compliance with New Requirements for Non-California Attorneys Representing Parties in NASD Arbitrations in California
Monday, February 01, 1999
Notice to Members 99-09
NASD Regulation Imposes Moratorium on Arbitrator-Ordered Expungements of Information from the Central Registration Depository
Monday, February 01, 1999
Notice to Members 01-04
SEC Approves Amendments to Director's Authority to Remove Arbitrators for Cause
Wednesday, January 10, 2001
Notice to Members 01-03
SEC Approves Early Expiration of Large and Complex Cases Rule
Wednesday, January 10, 2001
Notice to Members 99-100
SEC Approves Creation of Dispute Resolution Subsidiary and Related By-Laws And Rule Changes
Friday, December 10, 1999
Notice to Members 99-96
SEC Approves New Arbitration Disclosure Rule And Procedures for Employment Arbitration;
Tuesday, November 30, 1999
Notice to Members 99-90
NASD Regulation Announces New Discovery Guide to be Used in Arbitration Proceedings
Monday, October 25, 1999
Notice to Members 99-84
NASD to Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Tuesday, September 28, 1999
Notice to Members 99-54
NASD Regulation Seeks Comment on Issues Relating to Arbitrator-Ordered Expungements of Information From The Central Registration Depository
Thursday, July 01, 1999
Notice to Members 98-74
SEC Approves Rule Amendment Relating to Hearings on Suspensions and Cancellations for Failure to Comply with Arbitration Awards
Tuesday, September 01, 1998
Notice to Members 02-07
NASD Adopts Interpretive Material Prohibiting Interference with the Transfer of Customer Accounts in the Context of Employment Disputes
Thursday, January 10, 2002
Notice to Members 01-36
NASD Regulation Requests Comment on Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer of Customer Accounts
Tuesday, May 22, 2001