Arbitration & Mediation Notices

Date Title Description
Aug 26, 2005 Notice to Members 05-55
SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
May 06, 2005 Notice to Members 05-36
SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
May 05, 2005 Notice to Members 05-35
SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
Apr 27, 2005 Notice to Members 05-32
SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
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
Aug 17, 2004 Notice to Members 04-62
SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
Aug 13, 2004 Notice to Members 04-60
SEC Approves Increase to the Arbitrator Panel Training Fee
Aug 09, 2004 Notice to Members 04-57
NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
Aug 05, 2004 Notice to Members 04-56
SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
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
Jun 18, 2004 Notice to Members 04-49
SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
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
Jun 02, 2004 Notice to Members 04-44
Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
Mar 04, 2004 Notice to Members 04-16
NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
Feb 23, 2004 Notice to Members 04-11
NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
Nov 06, 2003 Notice to Members 03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Oct 15, 2003 Notice to Members 03-64
New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
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
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
Jan 15, 2003 Notice to Members 03-06
NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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
Jan 01, 2003 Notice to Members 03-03
NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
Jan 01, 2003 Notice to Members 03-02
NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
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