Customer and Industry Code Deadlines

Deadlines for Customer Cases - FINRA Manual 12000 series 

 

Deadlines for Responding to Pleadings

 

Answering the Statement of Claim – Rule 12303(a)

 

Answering Counterclaims – Rule 12304(a)

 

Answering Cross Claims – Rule 12305(a)

 

Answering Third Party Claims – Rule 12306(a)

 

Answering Amended Claims – Rule 12310

 

Deadlines for Arbitrator Selection Procedures

 

Striking and Ranking Arbitrators – Rule 12404(c)

 

Additional Parties –- Rule 12407

 

Deadlines for Prehearing and Discovery Procedures

 

Time for Responding to Document Production Lists – Rule 12506(b)

 

Other Discovery Requests – Rule 12507(a)

 

Responding to Other Discovery Requests – Rule 12507(b)

 

Motions – Rule 12503(a)(3)

 

Responding to Motions – Rule 12503(b)

 

Serving and Responding to Motions to Dismiss – Rule 12504(a)(3)

 

Serving and Responding to Motions to Dismiss on Eligibility Grounds – Rule 12206(b)(2)

 

Subpoenas – Rule 12512(c)

 

Prehearing Exchange of Documents and Witness Lists, and Explained Decision Requests – Rule 12514

 

Deadline to Notify FINRA of Settlement to Receive a Partial Refund

 

Partial Refund of Filing Fee – Rule 12900(c)

 

 

Deadlines for Industry Cases - FINRA Manual 13000 series

 

Deadlines for Responding to Pleadings

 

Answering the Statement of Claim – Rule 13303(a)

 

Answering Counterclaims – Rule 13304(a)

 

Answering Cross Claims – Rule 13305(a)

 

Answering Third Party Claims – Rule 13306(a)

 

Answering Amended Claims – Rule 13310

 

Deadlines for Arbitrator Selection Procedures

 

Striking and Ranking Arbitrators – Rule 13404(d)

 

Additional Parties – Rule 13407

 

Deadlines for Prehearing and Discovery Procedures

 

Responding to Discovery Requests – Rule 13507(a)

 

Motions – Rule 13503(a)(3)

 

Responding to Motions – Rule 13503(b)

 

Serving and Responding to Motions to Dismiss – Rule 13504(a)(3)

 

Serving and Responding to Motions to Dismiss on Eligibility Grounds – Rule 13206(b)(2)

 

Subpoenas – Rule 13512(c)

 

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

 

Deadline for Cases Seeking Injunctive Relief

 

Hearing on Request for Permanent Injunctive Relief/Selection of Arbitrators and Chairperson – Rule 13804(b)(3)

 

Deadline to Notify FINRA of Settlement to Receive a Partial Refund

 

Partial Refund of Filing Fee – Rule 13900(c)