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(2 versions)
Dec 15 2008 - Apr 2 2017Apr 3 2017 onwards

12304. Answering Counterclaims

This version is valid from Dec 15 2008 through Apr 2 2017.
Amendments have been announced but are not yet effective. To view other versions open the versions tab on the right.

(a) A claimant must directly serve any answer to a counterclaim on each other party within 20 days of receipt of the counterclaim. At the same time, the claimant must file the answer to the counterclaim with the Director with additional copies for each arbitrator.
(b) The answer must include the relevant facts and available defenses to the counterclaim. The claimant may include any additional documents supporting the answer to the counterclaim.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.

Selected Notice: 07-07, 08-57.

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