13100. Definitions

Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit documents and information and view their arbitration and mediation case information and document

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

It may be deemed conduct inconsistent with just and equitable principles of trade and a violation of Rule 2010 for a member or a person associated with a member to:
(a) fail to submit a dispute for arbitration under the Code as required by the Code;
(b) fail to comply with any injunctive order issued pursuant to the Code;
(c) fail to appear or to produce any document in his p

13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

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  • PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

12905. Submissions After a Case Has Closed

(a) Parties may not submit documents to arbitrator(s) in cases that have been closed except under the following limited circumstances:
(1) as ordered by a court;
(2) at the request of any party within 10 days of service of an award or notice that a matter has been closed, for typographical or computational errors, or mistakes in the description of any person or property referred to in the award; or

12901. Member Surcharge

(a) Member Surcharge
(1) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(A) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(B) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or
(C) Employed, at the time the dispu

12900. Fees Due When a Claim Is Filed

(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below. 
Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-Members

 

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