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| Date Sort ascending | Title | Description |
|---|---|---|
| Dec 17, 2024 | Regulatory Notice 24-16 | Amendments Relating to the Applicability of the Document Production Lists to Simplified Customer Arbitrations Administered Under Rule 12800
Effective Date: March 3, 2025
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| Feb 06, 2024 | Regulatory Notice 24-03 | Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
Effective Date: March 4, 2024
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| Aug 11, 2023 | Regulatory Notice 23-12 | FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
Effective Date: October 16, 2023
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| Mar 16, 2022 | Regulatory Notice 22-09 | FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties
Comment Period Expires: May 16, 2022
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| Apr 21, 2021 | Regulatory Notice 21-16 | FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
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| Feb 12, 2021 | Regulatory Notice 21-04 | FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
Effective Date: April 19, 2021
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| Jul 20, 2020 | Regulatory Notice 20-25 | FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
Effective Date: September 14, 2020
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| Apr 09, 2020 | Regulatory Notice 20-11 | FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Effective Date: June 29, 2020
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| May 30, 2019 | Regulatory Notice 19-20 | SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Effective Date: July 1, 2019
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| Dec 10, 2018 | Regulatory Notice 18-40 | SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Effective Date: January 7, 2019
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| Sep 28, 2018 | Regulatory Notice 18-33 | SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Effective Date: October 29, 2018
|
| Jul 26, 2018 | Regulatory Notice 18-22 | FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
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| Jul 23, 2018 | Regulatory Notice 18-21 | SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Effective Date: September 17, 2018
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| Feb 08, 2018 | Regulatory Notice 18-06 | FINRA Requests Comment on Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards
Comment Period Expires: April 9, 2018
|
| Dec 06, 2017 | Regulatory Notice 17-42 | FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information Comment Period Expires: February 5, 2018
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| Oct 18, 2017 | Regulatory Notice 17-33 | Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Effective Date: October 18, 2017
|
| Oct 18, 2017 | Regulatory Notice 17-34 | FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration Effective Date: October 18, 2017
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| Oct 04, 2017 | Regulatory Notice 17-29 | SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator Effective Date: October 9, 2017
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| Aug 18, 2017 | Regulatory Notice 17-25 | SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Effective Date: September 18, 2017
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| Jan 03, 2017 | Regulatory Notice 17-03 | SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
Effective Date: April 3, 2017
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| Jan 03, 2017 | Regulatory Notice 17-02 | SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
Effective Date: January 23, 2017
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| Jan 03, 2017 | Regulatory Notice 17-04 | SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
Effective Date: January 9, 2017
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| Dec 01, 2016 | Regulatory Notice 16-44 | SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
Effective Date: January 3, 2017
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| Sep 26, 2016 | Regulatory Notice 16-36 | SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
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| Jul 22, 2016 | Regulatory Notice 16-25 | Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
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| Jan 15, 2016 | Regulatory Notice 16-04 | SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc
Effective Date: December 20, 2015
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| Jun 08, 2015 | 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
Effective Date: July 6, 2015
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| May 27, 2015 | Regulatory Notice 15-18 | SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Effective Date: June 26, 2015
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| Nov 14, 2014 | 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
Effective Date: December 15, 2014
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| Oct 17, 2014 | Regulatory Notice 14-42 | SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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 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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| Feb 01, 2011 | Regulatory Notice - 11-05 | Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
|
| Sep 14, 2010 | Regulatory Notice 10-40 | Non-Party Witness' Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
|
| 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
|
| Jul 02, 2010 | Regulatory Notice 10-32 | SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
|