… 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 …
… 8320. Payment of Fines, Other Monetary Sanctions, or Costs; Summary Action for Failure to Pay … rulesguidancerulebooksfinrarules8320 … /rules-guidance/rulebooks/finra-rules/8320 … (a) Payment to Treasurer All fines and other monetary sanctions shall be paid to the Treasurer of FINRA and shall be used for the general corporate purposes. (b) Summary Suspension or …
… 8110. Availability of Manual to Customers … rulesguidancerulebooksfinrarules8110 … /rules-guidance/rulebooks/finra-rules/8110 … Members … examination by customers upon request. Members may comply with this Rule by maintaining electronic access to the FINRA Manual and providing customers with such access upon request. Amended by SR-FINRA-2008-021 eff. … Rule … rules … 8110. … Notices - 89-71 … Notices - 90-74 … Notices - 08-57 … 8110. Availability of Manual to Customers …
… 166046 … 13806. Panel to Decide Requests for Expungement of Customer Dispute Information Filed by an Associated Person under Rule … … /rules-guidance/rulebooks/finra-rules/13806 … (a) Applicability This Rule applies to claims that request expungement of customer dispute information filed by an associated person against a member firm, pursuant to Rule 13805. Except as otherwise provided in this Rule, all provisions of the Code apply to such claims. (b) …
… 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 …
