13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
PART II GENERAL ARBITRATION RULES
PART III INITIATING AND RESPONDING TO CLAIMS
PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
PART V PREHEARING PROCEDURES AND DISCOVERY
PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; INJUNCTIVE RELIEF; EXPUNGEMENT PROCEEDINGS; PROMISSORY NOTE PROCEEDINGS; AND ACCELERATED PROCESSING
PART IX FEES AND AWARDS

Regulatory Notice 17-03
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
January 03, 2017
Regulatory Notice 16-37
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
October 17, 2016
Regulatory Notice 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
January 29, 2016
Regulatory Notice 14-09
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
February 26, 2014
Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
October 23, 2013
Regulatory Notice 08-57
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules
October 16, 2008

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PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

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

13100. Definitions

13101. Applicability of Code and Incorporation by Reference

13102. National Arbitration and Mediation Committee

13103. Director of FINRA Dispute Resolution Services

13104. Effect of Arbitration on FINRA Regulatory Activities; Arbitrator Referral During or at Conclusion of Case

13105. Agreement of the Parties

PART II GENERAL ARBITRATION RULES

13200. Required Arbitration

13201. Statutory Employment Discrimination Claims, Disputes Arising Under a Whistleblower Statute that Prohibits the Use of Predispute Arbitration Agreements, Sexual Assault Claims, and Sexual Harassment Claims

13202. Claims Involving Registered Clearing Agencies

13203. Denial of FINRA Forum

13204. Class Action and Collective Action Claims

13205. Shareholder Derivative Actions

13206. Time Limits

13207. Extension of Deadlines

13208. Representation of Parties

13209. Legal Proceedings

13210. Ex Parte Communications

13211. Direct Communication Between Parties and Arbitrators

13212. Sanctions

13213. Hearing Locations

13214. Payment of Arbitrators

PART III INITIATING AND RESPONDING TO CLAIMS

13300. Filing and Serving Documents

13301. Service on Associated Persons

13302. Filing and Serving an Initial Statement of Claim

13303. Answering the Statement of Claim

13304. Answering Counterclaims

13305. Answering Cross Claims

13306. Answering Third Party Claims

13307. Deficient Claims

13308. Loss of Defenses Due to Untimely or Incomplete Answer

13309. Amending Pleadings

13310. Answering Amended Claims

13311. Amendments to Amount in Dispute

13312. Multiple Claimants

13313. Multiple Respondents

13314. Combining Claims

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS

13400.List Selection Algorithm and Arbitrator Rosters

13401. Number of Arbitrators

13402. Composition of Arbitration Panels in Cases Not Involving a Claim of Sexual Assault, Sexual Harassment, or Statutory Employment Discrimination

13403. Generating and Sending Lists to the Parties

13404. Striking and Ranking Arbitrators

13405. Combining Lists

13406. Appointment of Arbitrators; Discretion to Appoint Arbitrators Not on List

13407. Additional Parties

13408. Disclosures Required of Arbitrators

13409. Arbitrator Recusal

13410. Removal of Arbitrator by Director

13411. Replacement of Arbitrators

13412. Director's Discretionary Authority

13413. Jurisdiction of Panel and Authority to Interpret the Code

13414. Determinations of Arbitration Panel

PART V PREHEARING PROCEDURES AND DISCOVERY

13500. Initial Prehearing Conference

13501. Other Prehearing Conferences

13502. Recording Prehearing Conferences

13503. Motions

13504. Motions to Dismiss

13505. Cooperation of Parties in Discovery

13506. Discovery Requests

13507. Responding to Discovery Requests

13508. Objecting to Discovery Requests; Waiver of Objection

13509. Motions to Compel Discovery

13510. Depositions

13511. Discovery Sanctions

13512. Subpoenas

13513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas

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

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD

13600. Required Hearings

13601. Postponement of Hearings

13602. Attendance at Hearings

13603. Failure to Appear

13604. Evidence

13605. Witness Oath

13606. Record of Proceedings

13607. Order of Presentation of Evidence and Arguments

13608. Closing the Record

13609. Reopening the Record

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD

13700. Dismissal of Proceedings Prior to Award

13701. Settlement

13702. Withdrawal of Claims

PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; INJUNCTIVE RELIEF; EXPUNGEMENT PROCEEDINGS; PROMISSORY NOTE PROCEEDINGS; AND ACCELERATED PROCESSING

13800. Simplified Arbitration

13801. Default Proceedings

13802. Sexual Assault Claims, Sexual Harassment Claims, or Statutory Employment Discrimination Claims

13803. Coordination of Sexual Assault Claims, Sexual Harassment Claims or Statutory Employment Discrimination Claims Filed in Court and in Arbitration

13804. Temporary Injunctive Orders; Requests for Permanent Injunctive Relief

13805. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System

13806. Panel to Decide Requests for Expungement of Customer Dispute Information Filed by an Associated Person under Rule 13805

13807. Promissory Note Proceedings

13808. Accelerated Processing

PART IX FEES AND AWARDS

13900. Fees Due When a Claim Is Filed

13901. Member Surcharge