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This rule is no longer applicable. NASD Rule 13501 has been superseded by FINRA Rule 13501.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.

(a) A prehearing conference may be scheduled upon the joint request of the parties or at the discretion of the Director. The Director will set the time and place of the prehearing conference and appoint a person to preside.
(b) At a party's request, or at the discretion of the panel, the panel may schedule one or more additional prehearing conferences regarding any outstanding preliminary matters, including:
  • Discovery disputes;

  • Motions;

  • 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.
(c) The panel will determine the time and place of any additional prehearing conferences. Prehearing conferences will generally be held by telephone. Unless the full panel is required under Rule 13503, prehearing conferences may be held before a single arbitrator, generally the chairperson.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.

Selected Notices: 07-07

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