13904. Awards
(a) All awards shall be in writing and signed by a majority of the arbitrators or as required by applicable law.
13903. Process Fees Paid by Members
(a) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 13403(b), as set forth in the schedule below.
Process Fee Schedule
13902. Hearing Session Fees, and Other Costs and Expenses
(a) Hearing Session Fees
(1) Hearing session fees will be charged for each hearing session. The total amount chargeable to the parties for each hearing session is based on the amount in dispute, as specified in the schedule below. In the award, the panel will determine the amount of each hearing session fee that each party must pay.
Hearing Session Fees
13901. Member Surcharge
(a) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(1) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(2) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or
(3) Employed, at the time the dispute arose, an associated person who i
13900. Fees Due When a Claim Is Filed
(a) Fees for Claims Filed by Associated Persons
(1) Associated persons who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Associated Persons
13806. Panel to Decide Requests for Expungement of Customer Dispute Information Filed by an Associated Person under Rule 13805
(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.
13805. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System
This Rule applies to all requests to expunge customer dispute information from the CRD system.
13804. Temporary Injunctive Orders; Requests for Permanent Injunctive Relief
(a) Temporary Injunctive Orders
(1) In industry or clearing disputes required to be submitted to arbitration under the Code, parties may seek a temporary injunctive order from a court of competent jurisdiction.
13803. Coordination of Sexual Assault Claims, Sexual Harassment Claims or Statutory Employment Discrimination Claims Filed in Court and in Arbitration
(a) Option to Combine Related Claims in Court
(1)(A) If a current or former associated person files a sexual assault claim, sexual harassment claim, or statutory employment discrimination claim in court against a member or its associated persons, and asserts related claims in arbitration at FINRA against some or all of the same parties, a respondent who is named in both proceedings may, upon motion, compel the claimant to bring the related arbitration claims in the same court proceeding in