… 13700. Dismissal of Proceedings Prior to Award … rulesguidancerulebooksfinrarules13700 … /rules-guidance/rulebooks/finra-rules/13700 … (a) The panel must dismiss an arbitration or a claim at the joint request of the parties to that arbitration or claim. The dismissal will be with or without prejudice, depending on the request of the … - 08-57 … rules … 13700. … Notices - 07-07 … Notices - 08-57 … 13700. Dismissal of Proceedings Prior to Award …
… 13603. Failure to Appear … rulesguidancerulebooksfinrarules13603 … /rules-guidance/rulebooks/finra-rules/13603 … If a party fails to appear at a hearing after having been notified of the time, date and place of the hearing, the panel may … Notices - 07-07 Notices - 08-57 Rule … rules … 13603. … Notices - 07-07 … Notices - 08-57 … 13603. Failure to Appear …
… 13513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas … … serve the motion or draft order on a non-party. (c) If a party receiving a motion and draft order objects to the scope or propriety of the order, that party shall, within 10 calendar days of service of the motion, … the Director and shall serve copies on all other parties. The party that requested the order may respond to the objections within 10 calendar days of receipt of the objections. After considering all objections, the …
… 13509. Motions to Compel Discovery … rulesguidancerulebooksfinrarules13509 … /rules-guidance/rulebooks/finra-rules/13509 … (a) A party may make a motion asking the panel to order another party to produce documents or information if the other party has: • Failed to comply with Rules 13506 or 13507 ; or …
… 13508. Objecting to Discovery Requests; Waiver of Objection … rulesguidancerulebooksfinrarules13508 … /rules-guidance/rulebooks/finra-rules/13508 … (a) If a party objects to producing any document or information requested under Rule 13506 , it must specifically identify which document or requested information it is objecting to and why. Objections must be in writing, and must be served on all other parties . Parties must produce all …
… 13507. Responding to Discovery Requests … rulesguidancerulebooksfinrarules13507 … /rules-guidance/rulebooks/finra-rules/13507 … … received, the party receiving the request must either: (1) Produce the requested documents or information to all other parties by serving the requested documents or information by first-class mail, overnight mail … when complying with paragraph (a) of this rule. "Good faith" means that a party must use its best efforts to produce all documents required or agreed to be produced. If a document cannot be produced in the required …
… 13504. Motions to Dismiss … rulesguidancerulebooksfinrarules13504 … /rules-guidance/rulebooks/finra-rules/13504 … (a) Motions to Dismiss Prior to Conclusion of Case in Chief (1) Motions to dismiss a claim prior to the conclusion of a party's case in …
… 13413. Jurisdiction of Panel and Authority to Interpret the Code … rulesguidancerulebooksfinrarules13413 … /rules-guidance/rulebooks/finra-rules/13413 … The panel has the authority to interpret and determine the applicability of all provisions under the Code. Such interpretations are final … Rule … rules … 13413. … Notices - 07-07 … Notices - 08-57 … 13413. Jurisdiction of Panel and Authority to Interpret the Code …
… 6282. Transactions Reported by Members to the ADF … rulesguidancerulebooksfinrarules6282 … /rules-guidance/rulebooks/finra-rules/6282 … (a) When and … Market Hours Members shall, as soon as practicable but no later than 10 seconds after execution, transmit to the ADF, or if the ADF is unavailable due to system or transmission failure, by telephone, facsimile or e-mail to FINRA Market Operations, last sale …
… 6191. Compliance with Regulation NMS Plan to Implement a Tick Size Pilot Program … rulesguidancerulebooksfinrarules6191 … … Members shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the applicable quoting and trading requirements of the Plan. (2) FINRA Compliance FINRA systems … drops below $1.00 during regular trading hours on any trading day, such Pilot Security will continue to be subject to the Plan and the requirements enumerated in subparagraphs (4) through (6) below and will …
