• Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
FINRA Rules 2010 and 103301
Principal Considerations in Determining Sanctions
Monetary Sanction
Suspension, Bar or Other Sanctions
See Principal
Unless otherwise provided in the decision issued under Rule 9349 or Rule 9351, a sanction (other than a bar, an expulsion, or a permanent cease and desist order) specified in a decision constituting final disciplinary action of FINRA for purposes of SEA Rule 19d-1(c)(1) shall become effective on a date to be determined by FINRA staff. A bar or a permanent cease and desist order shall become
Within 21 days after the filing of a notice of appeal pursuant to Rule 9311 or notice of call for review pursuant to Rule 9312, or at such later time as the National Adjudicatory Council may designate, the Office of Hearing Officers shall assemble and prepare an index to the record, transmit the record and the index to the National Adjudicatory Council, and serve copies of the index upon all
To Whom it May Concern, I was troubled to learn that the FINRA is considering passing SEC Proposed Rule #S7-24-15, which would affect individual investors like myself from using several popular public investments, including leveraged and inverse funds. I believe that I, not regulators, should be able to choose the public investments that are right myself and my family. Public investments should
(a) Hearings will be held, unless:
(1) The arbitration is administered under Rule 12800(c) or Rule 12801;
(2) The parties agree otherwise in writing; or
(3) The arbitration has been settled, withdrawn or dismissed.
(b) The panel will decide the time and date of the hearing at the initial prehearing conference or otherwise in another manner.
(c) The
Before ranked arbitrator lists are due to the Director under Rule 12402(d) or Rule 12403(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.
Amended by SR-FINRA-2013-023 eff. Sep. 30, 2013.
Amended by SR-FINRA-2011-007 eff. Feb. 16,
(a) If a party does not answer within the time period specified in the Code, the panel may, upon motion, bar that party from presenting any defenses or facts at the hearing, unless the time to answer was extended in accordance with the Code. The party may also be subject to default proceedings under Rule 12801, if the conditions of Rule 12801(a) apply.
(b) If a party answers a claim that
A committee designated by the Board of Governors, the Uniform Practice Code Committee (the "Committee"), shall have the power to issue interpretations or rulings with respect to the applicability of this Code to situations in which there is no substantial disagreement as to the facts involved in order to make custom, practice, usage, and trading technique in the investment banking and
The purpose of this Rule 9700 Series is to provide, where justified, redress for persons aggrieved by the operations of any automated quotation, execution, or communication system owned or operated by FINRA, or FINRA Regulation, and approved by the SEC, not otherwise provided for by the FINRA rules.
Amended by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2008-021 eff.
After considering an application, FINRA staff shall issue a written decision setting forth its findings and conclusions. The decision shall be served on the Applicant pursuant to Rules 9132 and 9134, except with respect to written decisions for exemptive relief under Rule 1210.03 (Qualification Examinations and Waivers of Examinations), which shall be served on the Applicant electronically.
