… PART III INITIATING AND RESPONDING TO CLAIMS … rulesguidancerulebooksfinrarulespartiii0 … /rules-guidance/rulebooks/finra-rules/part-iii-0 … … - PART III FINRA Rules 13000 PART III Rule … rules … 13000 PART III … PART III INITIATING AND RESPONDING TO CLAIMS …
… IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes … … 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 …
… 12700. Dismissal of Proceedings Prior to Award … rulesguidancerulebooksfinrarules12700 … /rules-guidance/rulebooks/finra-rules/12700 … (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 … 12700. … Notices - 07-07 … Notices - 08-57 … 12700. Dismissal of Proceedings Prior to Award …
… 12603. Failure to Appear … rulesguidancerulebooksfinrarules12603 … /rules-guidance/rulebooks/finra-rules/12603 … 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 … 12603. … Notices - 07-07 … Notices - 08-57 … 12603. Failure to Appear …
… 12513. 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 …
… 12509. Motions to Compel Discovery … rulesguidancerulebooksfinrarules12509 … /rules-guidance/rulebooks/finra-rules/12509 … (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 Rule 12506 or 12507 ; or …
… 12508. Objecting to Discovery; Waiver of Objection … rulesguidancerulebooksfinrarules12508 … /rules-guidance/rulebooks/finra-rules/12508 … (a) If a party objects to producing any document described in Document Production Lists 1 or 2 or any document or information … under Rule 12507 , 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 …
… 12504. Motions to Dismiss … rulesguidancerulebooksfinrarules12504 … /rules-guidance/rulebooks/finra-rules/12504 … (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 …
… 63 … 4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures … … of this Rule, the term "order" includes a broker - dealer's proprietary quotes that are transmitted to an alternative trading system. (2) Alternative trading systems shall record each item of information required to be recorded under this Rule in such manner and form as is prescribed by FINRA from time to time. (3) …
… 4518. Notification to FINRA in Connection with the JOBS Act … rulesguidancerulebooksfinrarules4518 … … … A member shall notify FINRA, in a manner prescribed by FINRA: (a) prior to engaging, for the first time, in a transaction involving the offer or sale of securities in reliance on … controlling, or being controlled by or under common control with, a funding portal as defined pursuant to Rule 300(c)(2) of SEC Regulation Crowdfunding. Adopted by SR-FINRA-2015-040 eff. Jan. 29, 2016. Selected …
