12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
- PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
- IM-12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes
- 12100. Definitions
- 12101. Applicability of Code and Incorporation by Reference
- 12102. National Arbitration and Mediation Committee
- 12103. Director of FINRA Dispute Resolution Services
- 12104. Effect of Arbitration on FINRA Regulatory Activities; Arbitrator Referral During or at Conclusion of Case
- 12105. Agreement of the Parties
- PART II GENERAL ARBITRATION RULES
- 12200. Arbitration Under an Arbitration Agreement or the Rules of FINRA
- 12201. Elective Arbitration
- 12202. Claims Against Inactive Members
- 12203. Denial of FINRA Forum
- 12204. Class Action Claims
- 12205. Shareholder Derivative Actions
- 12206. Time Limits
- 12207. Extension of Deadlines
- 12208. Representation of Parties
- 12209. Legal Proceedings
- 12210. Ex Parte Communications
- 12211. Direct Communication Between Parties and Arbitrators
- 12212. Sanctions
- 12213. Hearing Locations
- 12214. Payment of Arbitrators
- PART III INITIATING AND RESPONDING TO CLAIMS
- 12300. Filing and Serving Documents
- 12301. Service on Associated Persons
- 12302. Filing and Serving an Initial Statement of Claim
- 12303. Answering the Statement of Claim
- 12304. Answering Counterclaims
- 12305. Answering Cross Claims
- 12306. Answering Third Party Claims
- 12307. Deficient Claims
- 12308. Loss of Defenses Due to Untimely or Incomplete Answer
- 12309. Amending Pleadings
- 12310. Answering Amended Claims
- 12311. Amendments to Amount in Dispute
- 12312. Multiple Claimants
- 12313. Multiple Respondents
- 12314. Combining Claims
- PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- 12400. List Selection Algorithm and Arbitrator Rosters
- 12401. Number of Arbitrators
- 12402. Cases with One Arbitrator
- 12403. Cases with Three Arbitrators
- 12404. Additional Parties
- 12405. Disclosures Required of Arbitrators
- 12406. Arbitrator Recusal
- 12407. Removal of Arbitrator by Director
- 12408. Director's Discretionary Authority
- 12409. Jurisdiction of Panel and Authority to Interpret the Code
- 12410. Determinations of Arbitration Panel
- PART V PREHEARING PROCEDURES AND DISCOVERY
- 12500. Initial Prehearing Conference
- 12501. Other Prehearing Conferences
- 12502. Recording Prehearing Conferences
- 12503. Motions
- 12504. Motions to Dismiss
- 12505. Cooperation of Parties in Discovery
- 12506. Document Production Lists
- 12507. Other Discovery Requests
- 12508. Objecting to Discovery; Waiver of Objection
- 12509. Motions to Compel Discovery
- 12510. Depositions
- 12511. Discovery Sanctions
- 12512. Subpoenas
- 12513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas
- 12514. Prehearing Exchange of Documents and Witness Lists, and Explained Decision Requests
- PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
- PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
- PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS
- PART IX FEES AND AWARDS
- Regulatory Notice 17-03January 03, 2017
- Regulatory Notice 16-37October 17, 2016
- Regulatory Notice 16-06January 29, 2016
- Regulatory Notice 14-09February 26, 2014
- Regulatory Notice 13-34October 23, 2013
- Regulatory Notice 08-57October 16, 2008