12801. Default Proceedings

(a) Applicability of Rule
A claimant may request default proceedings against any respondent that falls within one of the following categories and fails to file an answer within the time provided by the Code:
(1) A member whose membership has been terminated, suspended, canceled, or revoked;
(2) A member that has been expelled or barred from FINRA;

12702. Withdrawal of Claims

(a) Before a claim has been answered by a party, the claimant may withdraw the claim against that party with or without prejudice.
(b) After a claim has been answered by a party, the claimant may only withdraw the claim against that party with prejudice unless:
(1) the panel decides otherwise;
(2) the claimant and that party agree otherwise; or
(3) a customer filed a claim and the party that answered the claim

12601. Postponement of Hearings

(a) Postponement of Hearings
(1) When a Hearing Shall Be Postponed
A hearing shall be postponed:
(A) by agreement of the parties; or
(B) if FINRA notifies a customer that a member or an associated person has become inactive as set forth in Rule 12202, the scheduled hearing date is within 60 days of the date the customer receives the notice from FINRA, and the customer chooses to postpone the hearing date.

12309. Amending Pleadings

(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended claim with the Director.
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