SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS
SAC Issue: Volume XI, No. 10, pp. 6-7
Publication Date: April 2001
Award Year(s) Reviewed: 1998 - 2000
Survey Topic: SRO statistics tally for 1998 through 2000 (See also SRO Statistics 1st Qtr 1998)
Number of Charts: 1
Abstract
SAC's update (See SRO Statistics 1st Qtr 1998) on the SICA-reported statistics for participating self-regulatory organizations charts a three-year breakout for five (reduced from seven) arbitration forums. Both arbitration programs of the Municipal Securities Rulemaking Board and Philadelphia Stock Exchange were absorbed into the NASD by 1999. This latest update is the most dramatic evidence of the consolidation of SRO arbitration forum activity over the years; in 2000, NASD and NYSE received over 99% of case filings.
The six indices of arbitration activity for both individual forum and group statistics are weighed against the backdrop of the two trends: shrinking forum choice and increasing disparity between NASD and NYSE dispute protocols (e.g., member and forum fees, Small Claims thresholds, mediation programs, arbitrator selection and discovery).
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