Notices

Regulatory Notice 10-40
Non-Party Witness’ Attorney May Attend Hearing While Witness Is Testifying
Tuesday, September 14, 2010
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
Friday, December 18, 2009
Regulatory Notice 10-11
Amendments to the Arbitration Rules Regarding Deficient Claims
Friday, February 19, 2010
Regulatory Notice 09-36
SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Friday, July 10, 2009
Regulatory Notice 09-43
SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Friday, July 31, 2009
Regulatory Notice 09-48
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Friday, August 14, 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
Friday, January 09, 2009
Regulatory Notice 09-07
SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
Friday, January 23, 2009
Regulatory Notice 09-12
Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
Wednesday, February 18, 2009
Regulatory Notice 09-13
SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Friday, February 27, 2009
Regulatory Notice 09-16
SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
Sunday, March 01, 2009
Regulatory Notice 09-23
SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Friday, May 15, 2009
Regulatory Notice 08-79
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Monday, December 15, 2008
Regulatory Notice 08-45
FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Monday, August 25, 2008
Regulatory Notice 08-62
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases
Friday, October 24, 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
Friday, August 22, 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
Friday, May 09, 2008
Regulatory Notice 07-57
SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Friday, November 23, 2007
Notice to Members 07-13
SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators
Friday, March 02, 2007
Notice to Members 06-49
NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
Tuesday, September 05, 2006
Notice to Members 06-64
SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Wednesday, November 15, 2006
Notice to Members 07-07
SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Thursday, February 15, 2007
Notice to Members 05-82
SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims;
Wednesday, December 21, 2005
Notice to Members 05-85
SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Friday, December 30, 2005
Notice to Members 05-32
SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
Wednesday, April 27, 2005