13307. Deficient Claims
This rule is no longer applicable. NASD Rule 13307 has been superseded by FINRA Rule 13307. Please consult the appropriate FINRA Rule.
The Industry Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new Code.
A Uniform Submission Agreement was not filed by each claimant;
The Uniform Submission Agreement was not properly signed and dated;
The Uniform Submission Agreement does not name all parties named in the claim;
The claimant did not file the correct number of copies of the Uniform Submission Agreement, statement of claim or supporting documents for service on respondents and for the arbitrators;
The claim does not specify the claimant's or the claimant's representative's current address; or
- The claimant did not pay all required filing fees, unless the Director deferred the fees.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.
Selected Notices: 07-07