Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

13314. Combining Claims

This rule is no longer applicable. NASD Rule 13314 has been superseded by FINRA Rule 13314. 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.

Before ranked arbitrator lists are due to the Director under Rule 13404(c), the Director may combine separate but related claims into one arbitration. Once a panel has been appointed, the panel may reconsider the Director's decision upon motion of a party.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.

Selected Notices: 07-07

No Results Found

No Results Found

No Results Found

No Results Found