Notices

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
Notice to Members 01-29
SEC Approves Amendments to Prohibit Terminated or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers in the NASD Arbitration Forum
Thursday, May 10, 2001
Notice to Members 01-22
NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
Thursday, March 15, 2001
Notice to Members 02-16
NASD Dispute Resolution to Consolidate Western Region March 4, 2002
Tuesday, February 19, 2002
Notice to Members 01-70
SEC Approves Increases to Member Surcharges and Process Fees in NASD Arbitration Proceedings, and Other Amendments to Fee-Related Provisions of The NASD Code of Arbitration Procedure
Friday, October 19, 2001
Notice to Members 01-65
NASD Seeks Comment on Proposed Rules and Policies Relating to Expungement of Information from the Central Registration Depository
Wednesday, October 10, 2001
Notice to Members 02-13
SEC Approves Permanent Injunctive Relief Rule
Monday, February 11, 2002
Notice to Members 02-11
NASD Dispute Resolution Establishes a New Hearing Location in Orlando, Florida, for Arbitration and Mediation Claims Filed in Its Forum
Tuesday, January 29, 2002
Notice to Members 00-64
SEC Approves Rule Changes to Amend Mediation Fee Structure;
Monday, September 11, 2000
Notice to Members 00-63
NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
Monday, September 11, 2000
Notice to Members 00-55
NASD Dispute Resolution Will Require Firms to Certify in Writing That They Have Complied with Arbitration Awards Within 30 Days of Receipt;
Thursday, August 10, 2000
Notice to Members 00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period;
Monday, April 10, 2000
Notice to Members 02-59
SEC Approves Amendment to Rule 10314 Regarding Specificity of Answers;
Wednesday, September 11, 2002
Notice to Members 02-58
SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims;
Wednesday, September 11, 2002
Notice to Members 02-53
NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD; Revises Letters Sent When Determination Made to Close an Investigation Without Further Action
Wednesday, August 21, 2002
Notice to Members 03-06
NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
Wednesday, January 15, 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
Friday, January 10, 2003
Notice to Members 03-03
NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
Wednesday, January 01, 2003
Notice to Members 03-02
NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
Wednesday, January 01, 2003
Notice to Members 02-68
SEC Approves Rule Change to IM-10100
Tuesday, October 01, 2002
Notice to Members 04-16
NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
Thursday, March 04, 2004
Notice to Members 04-11
NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
Monday, February 23, 2004
Notice to Members 03-25
Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003; New Waiver Agreement Form
Thursday, May 15, 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
Monday, April 21, 2003
Notice to Members 03-70
NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
Thursday, November 06, 2003