… 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 …
… 13406. Appointment of Arbitrators; Discretion to Appoint Arbitrators Not on List … rulesguidancerulebooksfinrarules13406 … … chairperson list, who will serve as chairperson of the panel. (c) If the number of arbitrators available to serve from the combined list(s) is not sufficient to fill an initial panel, the Director will appoint one or more arbitrators of the required classification to …
… 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 …
… 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 …
