FINRA Manual: Contents
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12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
PART V PREHEARING PROCEDURES AND DISCOVERY
12513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas
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12500. Initial Prehearing Conference
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) After the panel is appointed, the Director will schedule an Initial Prehearing Conference before the panel, except as provided in paragraph (c) of this rule.
(b) The Initial Prehearing Conference will generally be held by telephone. Unless the parties agree otherwise, the Director must notify each party of the time and place of the Initial Prehearing Conference at least 20 days before it takes place.
(c) At the Initial Prehearing Conference, the panel will set discovery, briefing, and motions deadlines, schedule subsequent hearing sessions, and address other preliminary matters. The parties may agree to forgo the Initial Prehearing Conference only if they jointly provide the Director with the following information, in writing, with additional copies for each arbitrator, before the Initial Prehearing Conference is scheduled to be held:
• A statement that the parties accept the panel;
• Whether any other prehearing conferences will be held, and if so, for each prehearing conference, a minimum of four mutually agreeable dates and times, and whether the chairperson or the full panel will preside;
• A minimum of four sets of mutually agreeable hearing dates;
• A discovery schedule;
• A list of all anticipated motions, with filing and response due dates; and
• A determination regarding whether briefs will be submitted, and, if so, the due date for the briefs and any reply briefs.
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.