FINRA - Rules and Regulations - FINRA Manual Online

FINRA Global-ID.

Help Go

Table of Contents

Advanced Search

Manual Search

View Whole Section

Location: FINRA Manual > FINRA Rules > 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

Notices
(1 link)

07-07 SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure; Effective Date: April 16, 2007

13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

View whole section

Contents:

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes

13100. Definitions

13101. Applicability of Code and Incorporation by Reference

13102. National Arbitration and Mediation Committee

13103. Director of Dispute Resolution

13104. Effect of Arbitration on FINRA Regulatory Activities

13105. Agreement of the Parties

PART II GENERAL ARBITRATION RULES

13200. Required Arbitration

13201. Statutory Employment Discrimination Claims

13202. Claims Involving Registered Clearing Agencies

13203. Denial of FINRA Forum

13204. Class Action Claims

13205. Shareholder Derivative Actions

13206. Time Limits

13207. Extension of Deadlines

13208. Representation of Parties

13209. Legal Proceedings

13210. Ex Parte Communications

13211. Direct Communication Between Parties and Arbitrators

13212. Sanctions

13213. Hearing Locations

13214. Payment of Arbitrators

PART III INITIATING AND RESPONDING TO CLAIMS

13300. Filing and Serving Documents

13301. Service on Associated Persons

13302. Filing an Initial Statement of Claim

13303. Answering the Statement of Claim

13304. Answering Counterclaims

13305. Answering Cross Claims

13306. Answering Third Party Claims

13307. Deficient Claims

13308. Loss of Defenses Due to Untimely or Incomplete Answer

13309. Amending Pleadings

13310. Answering Amended Claims

13311. Amendments to Amount in Dispute

13312. Multiple Claimants

13313. Multiple Respondents

13314. Combining Claims

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS

13400. Neutral List Selection System and Arbitrator Rosters

13401. Number of Arbitrators

13402. Composition of Arbitration Panels in Cases Not Involving a Statutory Discrimination Claim

13403. Generating and Sending Lists to the Parties

13404. Striking and Ranking Arbitrators

13405. Combining Lists

13406. Appointment of Arbitrators; Discretion to Appoint Arbitrators Not on List

13407. Additional Parties

13408. Disclosures Required of Arbitrators

13409. Arbitrator Recusal

13410. Removal of Arbitrator by Director

13411. Replacement of Arbitrators

13412. Director's Discretionary Authority

13413. Jurisdiction of Panel and Authority to Interpret the Code

13414. Determinations of Arbitration Panel

PART V PREHEARING PROCEDURES AND DISCOVERY

13500. Initial Prehearing Conference

13501. Other Prehearing Conferences

13502. Recording Prehearing Conferences

13504. Motions to Dismiss

13505. Cooperation of Parties in Discovery

13506. Discovery Requests

13507. Responding to Discovery Requests

13508. Objecting to Discovery Requests; Waiver of Objection

13509. Motions to Compel Discovery

13510. Depositions

13511. Discovery Sanctions

13512. Subpoenas

13513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas

13514. Prehearing Exchange of Documents and Witness Lists, and Explained Decision Requests

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD

13600. Required Hearings

13601. Postponement of Hearings

13602. Attendance at Hearings

13603. Failure to Appear

13604. Evidence

13605. Witness Oath

13606. Record of Proceedings

13607. Order of Presentation of Evidence and Arguments

13608. Closing the Record

13609. Reopening the Record

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD

13700. Dismissal of Proceedings Prior to Award

13701. Settlement

13702. Withdrawal of Claims

PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; AND INJUNCTIVE RELIEF

13800. Simplified Arbitration

13801. Default Proceedings

13802. Statutory Employment Discrimination Claims

13803. Coordination of Statutory Employment Discrimination Claims Filed in Court and in Arbitration

13804. Temporary Injunctive Orders; Requests for Permanent Injunctive Relief

13805. Expungement of Customer Dispute Information under Rule 2080

13806. Promissory Note Proceedings

PART IX FEES AND AWARDS

13900. Fees Due When a Claim Is Filed

13901. Member Surcharge

13902. Hearing Session Fees, and Other Costs and Expenses

13903. Process Fees Paid by Members

13905. Submissions After a Case Has Closed