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 12402(d) & Rule 12403(c).

Additional Parties – Rule 12404

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)

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 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)

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)