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Every member shall use reasonable diligence, in regard to the opening and maintenance of every account, to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer.
• • • Supplementary Material: --------------
.01 Essential Facts. For purposes of this Rule, facts "essential" to "knowing
Sec. 2.1 The address of the registered office of FINRA Dispute Resolution in the State of Delaware and the name of the registered agent at such address shall be: Corporate Creations Network Inc., 1308 Delaware Avenue, Wilmington, Delaware 19806. FINRA Dispute Resolution also may have offices at such other places both within and without the State of Delaware as the Board may from time to time
(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(3) The arbitration has been settled, withdrawn or dismissed.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
(a) The panel will decide what evidence to admit. The panel is not required to follow state or federal rules of evidence.
(b) Production of documents in discovery does not create a presumption that the documents are admissible at the hearing. A party may state objections to the introduction of any document as evidence at the hearing to the same extent that any other objection may be raised in
(a) The panel will decide what evidence to admit. The panel is not required to follow state or federal rules of evidence.
(b) Production of documents in discovery does not create a presumption that the documents are admissible at the hearing. A party may state objections to the introduction of any document as evidence at the hearing to the same extent that any other objection may be raised in
All applications shall be considered by a Hearing Officer (as defined in Rule 9120(r)) appointed by the Chief Hearing Officer (as defined in Rule 9120(b)). Unless otherwise specified in FINRA rules, the applicant shall be entitled to be heard in person or telephonically and by counsel and to submit any relevant matter. In any such proceeding a record shall be kept.
Amended by SR-FINRA-2008-021
A Party who requests oral argument but fails to appear after being duly notified shall be deemed to have waived any opportunity for oral argument provided under the Rule 9300 Series. The Subcommittee or, if applicable, the Extended Proceeding Committee, shall permit argument to go forward as to those Parties who appear. The Subcommittee or, if applicable, the Extended Proceeding Committee, in
(a) Except as provided in Rule 12300(a)(2), a claimant must serve any answer to a counterclaim on each other party through the Party Portal within 20 days of receipt of the counterclaim. At the same time, the claimant must file the answer to the counterclaim with the Director.
(b) The answer must include the relevant facts and available defenses to the counterclaim. The claimant may
Except for FINRA Rules 8110, 8211, and 8213, all capital acquisition broker members shall be subject to the FINRA Rule 8000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 8000 Series shall mean "associated person of a capital acquisition broker" or "person associated
Upon a finding that a capital acquisition broker or associated person of a capital acquisition broker has engaged in activities that require the firm to register as a broker or dealer under the Exchange Act, and that are inconsistent with the limitations imposed on capital acquisition brokers under Capital Acquisition Broker Rule 016(c), FINRA may examine for and enforce all FINRA rules