… 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 …
… 11111. Refusal to Abide by Rulings of the Committee … rulesguidancerulebooksfinrarules11111 … … … It shall be considered conduct inconsistent with just and equitable principles of trade for any member to refuse to take any action that is necessary to effectuate a final decision of a FINRA officer or the UPC Committee …
… 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 …
… 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 …
