(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended
FINRA's mission is to safeguard the investing public against fraud and bad practices. We pursue that mission in five important ways to enable a fair, balanced, inclusive market where everyone can invest with confidence:1. Deter misconduct by enforcing the rulesWe write and enforce rules and regulations for every single brokerage firm and broker in the United States. That includes requiring
September 2005
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
On the Front Lines of Investor Protection
(a) Digital or Other Recording(1) Except as provided in paragraph (b) of this Rule, the Director will make a digital or other recording of every hearing. Executive sessions (i.e., discussions among arbitrators outside the presence of the parties and their representatives, witnesses, and stenographers) held by the panel will not be recorded. The Director will provide a copy of the recording to any
(a) Before First Hearing Session BeginsAfter the Director sends the list(s) generated by the list selection algorithm to the parties, but before the first hearing session begins, the Director may remove an arbitrator for conflict of interest or bias, either upon request of a party or on the Director's own initiative.(1) The Director will grant a party's request to remove an
(a) Filing Claim with the Director
To initiate an arbitration, a claimant must file the following with the Director:
(1) Signed and dated Submission Agreement; and
(2) A statement of claim specifying the relevant facts and remedies requested.
The claimant may include any additional documents supporting the statement of claim.
(b) Fees
At the time the
(a) Direction by Executive Committee
Notwithstanding Rules 9524 and 9525, the FINRA Board Executive Committee, upon request of the Statutory Disqualification Committee, may direct an expedited review of a recommended written decision of the Statutory Disqualification Committee if the FINRA Board Executive Committee determines that expedited review is necessary for the protection of
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
