… 9342. Failure to Appear at Oral Argument … rulesguidancerulebooksfinrarules9342 … /rules-guidance/rulebooks/finra-rules/9342 … A Party who requests oral argument but fails to appear after being duly notified shall be deemed to have waived any opportunity for oral argument provided under the Rule 9300 Series. The Subcommittee or, if …
… 9313. Counsel to National Adjudicatory Council … rulesguidancerulebooksfinrarules9313 … /rules-guidance/rulebooks/finra-rules/9313 … (a) Authority A Counsel to the National Adjudicatory Council shall have authority to take ministerial and administrative actions to further the efficient administration of a proceeding, …
… 9310. Appeal to or Review by National Adjudicatory Council … rulesguidancerulebooksfinrarules9310 … … … FINRA Rules - 9310. FINRA Rules 9310. Rule … rules … 9310. … 9310. Appeal to or Review by National Adjudicatory Council …
… 9267. Record; Supplemental Documents Attached to Record; Retention … rulesguidancerulebooksfinrarules9267 … /rules-guidance/rulebooks/finra-rules/9267 … (a) … application, motion, submission, and other paper, and any amendments, motions, objections, and exceptions to or regarding them; (3) each transcript of a pre-hearing conference and of a hearing, and each stipulation, … (4) each written communication accepted at the discretion of the Hearing Officer; (5) with respect to a motion to disqualify a Hearing Officer under Rule 9233 or a Panelist under Rule 9234 , each affidavit or …
… 13308. Loss of Defenses Due to Untimely or Incomplete Answer … rulesguidancerulebooksfinrarules13308 … … 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 13801 , if the conditions of Rule 13801 (a) apply. (b) If a party answers a …
… 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 …
