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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Date Sort ascending | Title | Description |
|---|---|---|
| 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
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| 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
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| 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 17-34 | 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 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
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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 17-04 | 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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| 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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| 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
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| Sep 14, 2010 | Regulatory Notice 10-40 | Non-Party Witness' Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
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| 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
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| Jul 02, 2010 | Regulatory Notice 10-32 | SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
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| Apr 01, 2010 | Regulatory Notice 10-16 | Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Effective Date: May 3, 2010
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| Apr 01, 2010 | Regulatory Notice 10-17 | Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
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| Feb 19, 2010 | Regulatory Notice 10-11 | Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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| Dec 18, 2009 | Regulatory Notice 09-74 | SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Effective Date: January 18, 2010
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| Aug 14, 2009 | Regulatory Notice 09-48 | SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
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| Jul 31, 2009 | Regulatory Notice 09-43 | SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Effective Date: August 31, 2009
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| Jul 10, 2009 | Regulatory Notice 09-36 | SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Effective Date: August 10, 2009
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| May 15, 2009 | Regulatory Notice 09-23 | SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
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| Mar 01, 2009 | Regulatory Notice 09-16 | SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
Effective Date: April 13, 2009
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| Feb 27, 2009 | Regulatory Notice 09-13 | SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Effective Date: March 30, 2009
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| Feb 18, 2009 | Regulatory Notice 09-12 | Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
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| Jan 23, 2009 | Regulatory Notice 09-07 | SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
Effective Date: January 23, 2009
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| Jan 09, 2009 | Regulatory Notice 09-04 | SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
Effective Date: February 9, 2009
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| Dec 15, 2008 | Regulatory Notice 08-79 | SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
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| Oct 24, 2008 | Regulatory Notice 08-62 | SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
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| Aug 25, 2008 | Regulatory Notice 08-45 | FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
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| Aug 22, 2008 | Regulatory Notice 08-44 | SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Effective Date: September 22, 2008
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| May 09, 2008 | Regulatory Notice 08-22 | SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Effective June 9, 2008
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| Nov 23, 2007 | Regulatory Notice 07-57 | SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Effective Date: December 24, 2007
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| Mar 02, 2007 | Notice to Members 07-13 | SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators
Effective Date: April 2, 2007
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| Feb 15, 2007 | Notice to Members 07-07 | SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Effective Date: April 16, 2007
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| Nov 15, 2006 | Notice to Members 06-64 | SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
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| Sep 05, 2006 | Notice to Members 06-49 | NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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| Dec 30, 2005 | Notice to Members 05-85 | SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Effective January 30, 2006
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| Dec 21, 2005 | Notice to Members 05-82 | SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Effective Date: January 17, 2006
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| Aug 26, 2005 | Notice to Members 05-55 | SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
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| May 06, 2005 | Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
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| May 05, 2005 | Notice to Members 05-35 | SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
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| Apr 27, 2005 | Notice to Members 05-32 | SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
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| Jan 31, 2005 | Notice to Members 05-10 | NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
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| 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 |
| Aug 17, 2004 | Notice to Members 04-62 | SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
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| Aug 13, 2004 | Notice to Members 04-60 | SEC Approves Increase to the Arbitrator Panel Training Fee
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| Aug 09, 2004 | Notice to Members 04-57 | NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
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| Aug 05, 2004 | Notice to Members 04-56 | SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
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| 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
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| Jun 18, 2004 | Notice to Members 04-49 | SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
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| Jun 02, 2004 | Notice to Members 04-44 | Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
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| 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
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| Mar 04, 2004 | Notice to Members 04-16 | NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
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| Feb 23, 2004 | Notice to Members 04-11 | NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
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| Nov 06, 2003 | Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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| Oct 15, 2003 | Notice to Members 03-64 | New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
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| 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
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| 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
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| Jan 15, 2003 | Notice to Members 03-06 | NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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| 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
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| Jan 01, 2003 | Notice to Members 03-03 | NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
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| Jan 01, 2003 | Notice to Members 03-02 | NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
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| 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
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| Sep 11, 2002 | Notice to Members 02-59 | SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers
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