FINRA Arbitration Awards (Westlaw): Arbitration awards from proceedings governed by the Code of Arbitration Procedure in the NASD Manual of the National Association of Securities Dealers (NASD) and by the NYSE now covered by FINRA. The code governs arbitration of disputes, claims, and controversies arising out of the business of a member. Full coverage begins with 1986 with some documents beginning in 1977.
FINRA Arbitration Awards (Lexis): The Financial Industry Regulatory Authority (FINRA/NASD) Arbitration Awards source contains Arbitration Awards issued by FINRA (formerly NASD Regulation, Inc.) pursuant to the Code of Arbitration Procedure. Coverage begins from February, 1989.
New York Stock Exchange Arbitration Decisions (Lexis; 1989 - 2009) The New York Stock Exchange Arbitration Decisions (NYARB) file contains the full-text of arbitration awards decisions published by the New York Stock Exchange between 1989 through 2009. Information may include the final decision of the arbitrators plus accompanying opinions, interim decisions, amended decisions, federal court decisions, and attached letters and exhibits. FINRA now provides regulatory oversight over the New York Stock Exchange since its creation in 2007. For current arbitration decisions involving the NYSE, please see the source, Financial Industry Regulatory Authority (FINRA/NASD) Arbitration Awards
Administrative Law Judges' Opinions
For Releases & No-Action Letters, see the "SEC" Tab.
FINRA Disciplinary Decisions (Westlaw) Decisions released by the (former New York Stock Exchange NYSE) Hearing Panel, resulting from disciplinary proceedings investigating improper conduct or violations of Exchange rules. Coverage of NYSE Hearing Panel decisions begins with 1972. Decisions released by the former NASD National Adjudicatory Council reviewing actions, decisions, and sanctions of an FINRA district business conduct committee or the Market Regulation Committee regarding membership compliance with rules and regulations of FINRA, the Securities and Exchange Commission, the Federal Reserve system, or the Municipal Securities Rulemaking Board.
New York Stock Exchange Disciplinary Actions (Lexis) The New York Stock Exchange Disciplinary Actions (NYDISC) file contains the full text of disciplinary actions taken by the New York Stock Exchange against individuals and firms for violations of the NYSE rules of fair practice. Each Exchange Panel hearing decision is considered a document. From January 1973 through August 2013