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13501. Other Prehearing Conferences
This rule is no longer applicable. NASD Rule 13501 has been superseded by FINRA Rule 13501. 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.
Witness lists and subpoenas;
Stipulations of fact;
Unresolved scheduling issues;
Contested issues on which the parties will submit briefs; and
- Any other matter that will simplify or expedite the arbitration.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.
Selected Notices: 07-07