… 12409. Jurisdiction of Panel and Authority to Interpret the Code … rulesguidancerulebooksfinrarules124090 … /rules-guidance/rulebooks/finra-rules/12409-0 … The panel has the authority to interpret and determine the applicability of all provisions under the Code. Such interpretations are final … … 12409. … Notices - 07-07 … Notices - 08-57 … Notices - 11-05 … 12409. Jurisdiction of Panel and Authority to Interpret the Code …
… 12308. Loss of Defenses Due to Untimely or Incomplete Answer … rulesguidancerulebooksfinrarules12308 … … may, upon motion, bar that party from presenting any defenses or facts at the hearing, unless the time to answer was extended in accordance with the Code. The party may also be subject to default proceedings under Rule 12801 , if the conditions of Rule 12801 (a) apply. (b) If a party answers a …
… PART III INITIATING AND RESPONDING TO CLAIMS … rulesguidancerulebooksfinrarulespartiii … /rules-guidance/rulebooks/finra-rules/part-iii … FINRA … - PART III FINRA Rules 12000 PART III Rule … rules … 12000 PART III … PART III INITIATING AND RESPONDING TO CLAIMS …
… IM-12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer 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 …
… 3611 … 11740. Marking to the Market … rulesguidancerulebooksfinrarules11740 … /rules-guidance/rulebooks/finra-rules/11740 … (a) … the market value of the subject of a contract in securities may demand from the other party a deposit equal to the difference between the contract price and the market price, without being required to make a mutual deposit. Such deposit shall be made either with the member demanding same or with a mutually …
… 11721. Obligations of Members Who Discover Securities in Their Possession to Which They Are Not Entitled … rulesguidancerulebooksfinrarules11721 … /rules-guidance/rulebooks/finra-rules/11721 … Any member who discovers securities in its possession to which it is not entitled is required to make reasonable attempts to ascertain and to promptly notify the true owner of such securities and to take …
… 9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2) … rulesguidancerulebooksfinrarules9216 … /rules-guidance/rulebooks/finra-rules/9216 … … Waiver, and Consent Procedures (1) Notwithstanding Rule 9211 , if the Department of Enforcement has reason to believe a violation has occurred and the member or associated person does not dispute the violation, the … request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing …
… 9215. Answer to Complaint … rulesguidancerulebooksfinrarules9215 … /rules-guidance/rulebooks/finra-rules/9215 … (a) Form, Service, Notice Pursuant to Rule 9133 , each Respondent named in a complaint shall serve an answer to the complaint on all other Parties within 25 days after service of the complaint on such Respondent, and at …
… 9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel … rulesguidancerulebooksfinrarules9213 … … a complaint with the Office of Hearing Officers, the Chief Hearing Officer shall assign a Hearing Officer to preside over the disciplinary proceeding and shall serve the Parties with notice of the Hearing Officer's assignment pursuant to Rule 9132 . (b) Appointment of Panelists As soon as practicable after assigning a Hearing Officer to …
