(a) Except as provided in paragraph (b) of this Rule, Rule 13800, and Rule 13807(f), FINRA will pay the panel an honorarium, as follows:
(1) $300 to each arbitrator for each hearing session in which he or she participates;
(2) an additional $125 to the chairperson for each prehearing conference in which he or she participates;
(3) an additional $250 per day to the chairperson for each hearing
(a) The Director may decline to permit the use of the FINRA arbitration forum if the Director determines that, given the purposes of FINRA and the intent of the Code, the subject matter of the dispute is inappropriate, or that accepting the matter would pose a risk to the health or safety of arbitrators, staff, or parties or their representatives. Only the Director may exercise the authority
This Rule applies to all requests to expunge customer dispute information from the CRD system, except that when a party requests expungement of customer dispute information during a simplified arbitration pursuant to Rule 12800(d), only those sections of this Rule that are specifically referenced in Rule 12800(d) through (f) shall apply. Except as otherwise provided in this Rule, all other
(a) Applicability
This Rule applies to claims that request expungement of customer dispute information filed by an associated person against a member firm, pursuant to Rule 13805. Except as otherwise provided in this Rule, all provisions of the Code apply to such claims.
(b) Selection of Panel
(1) The list selection algorithm shall randomly select three public arbitrators who are eligible for
.view-content div div span h2
{
font-weight:500;
margin-top:40px;
}
.view-header h2
{
font-size:3rem;
color:#999999;
font-weight:250;
border-top:2px solid #cccccc;
margin-top:15px;
padding-top:15px;
}
@media print {
footer {page-break-after: always;}
.block-block-content13129ca4-9a12-445a-8240-396c465d4de4{display:none;}
}
Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
.view-content div div span h2
{
font-weight:500;
margin-top:40px;
}
.view-header h2
{
font-size:3rem;
color:#999999;
font-weight:250;
border-top:2px solid #cccccc;
margin-top:15px;
padding-top:15px;
}
@media print {
footer {page-break-after: always;}
.block-block-content13129ca4-9a12-445a-8240-396c465d4de4{display:none;}
}
Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
Firms that apply for FINRA membership pursuant to IM-1013-3 shall be assessed one-half the applicable membership application fee set forth in Section 4(e) of Schedule A to the FINRA By-Laws. Those firms will otherwise remain subject to the FINRA By-Laws and Schedules to By-Laws, including Schedule A.Adopted by SR-FINRA-2023-014 eff. Oct. 30, 2023.Selected Notice: 23-19.
Learn how to use FINRA Gateway Reports to create a report listing associated persons with open CE Annual Regulatory Element requirements due by Dec. 31 of the year. This report provides real-time data during the year-end shutdown period. After completing the steps detailed on this page, you will have a report like the sample report linked here. Getting StartedLog in to
/01 Responsibility of Personnel
Rule 435(5)T, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those who are handling the member organization's long distance wires and those on the trading desks must in particular exercise a high degree of individual responsibility as their
Unless the context requires otherwise, the terms defined in Exchange Rules shall, for all purposes of the Exchange Rules, have the meanings therein specified.
Amended:
February 27, 2006, effective March 8, 2006 (NYSE-2005-77).
Amended by SR-FINRA-2019-009 eff. May 8, 2019.
