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13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
The Industry Code applies to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new code.
- 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 and Disputes Arising Under a Whistleblower Statute that Prohibits the Use of Predispute Arbitration Agreements
- 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. Neutral List Selection System and Arbitrator Rosters
- 13401. Number of Arbitrators
- 13402. Composition of Arbitration Panels in Cases Not Involving a Statutory Discrimination Claim
- 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
- 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; AND INJUNCTIVE RELIEF
- 13800. Simplified Arbitration
- 13801. Default Proceedings
- 13802. Statutory Employment Discrimination Claims
- 13803. Coordination of 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 under Rule 2080
- 13806. Promissory Note 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