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  • 10317. Attendance at Hearings

    This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.

    The attendance or presence of all persons at hearings including witnesses shall be determined by the arbitrators. However, all parties to the arbitration and their counsel shall be entitled to attend all hearings.
    Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.

    Selected Notice: 08-57.

    • IM-10317. Closing Arguments

      This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.

      In response to recent questions concerning the order of closing argument in arbitration proceedings conducted under the auspices of FINRA, it is the practice in these proceedings to allow claimants to proceed first in closing argument, with rebuttal argument being permitted. Claimants may reserve their entire closing for rebuttal. The hearing procedures may, however, be varied in the discretion of the arbitrators, provided all parties are allowed a full and fair opportunity to present their respective cases.
      Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.

      Selected Notice: 08-57.