For updates and guidance related to COVID-19 / Coronavirus, click here.
13500. Initial Prehearing Conference
This rule is no longer applicable. NASD Rule 13500 has been superseded by FINRA Rule 13500. 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 statement that the parties accept the panel;
Whether any other prehearing conferences will be held, and if so, for each prehearing conference, a minimum of four mutually agreeable dates and times, and whether the chairperson or the full panel will preside;
A minimum of four sets of mutually agreeable hearing dates;
A discovery schedule;
A list of all anticipated motions, with filing and response due dates; and
- A determination regarding whether briefs will be submitted, and, if so, the due date for the briefs and any reply briefs.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.
Selected Notices: 07-07