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(a) The panel may sanction a party for failure to comply with any provision in the Code, or any order of the panel or single arbitrator authorized to act on behalf of the panel.
Unless prohibited by applicable law, sanctions may include, but are not limited to:
• Assessing monetary penalties payable to one or more parties;
• Precluding a party from presenting evidence;
•
(a) The parties may agree in writing to extend or modify any deadline for:
• Serving an answer;
• Returning arbitrator or chairperson lists;
• Responding to motions; or
• Exchanging documents or witness lists.
If the parties agree to extend or modify a deadline under this rule, they must notify the Director of the new deadline in writing.
(b) The panel may extend or
FINRA Rule 0150 shall apply to the Capital Acquisition Broker Rules.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
(a) Mediation under the Code is voluntary, and requires the written agreement of all parties. No party may be compelled to participate in a mediation or to settle a matter by FINRA, or by any mediator appointed to mediate a matter pursuant to the Code.
(b) If all parties agree, any matter that is eligible for arbitration under the Customer Code or Industry Code, or any part of any such
(a) One or more parties may name one or more respondents in the same arbitration if the claims contain any questions of law or fact common to all respondents and:
• The claims are asserted against the respondents jointly and severally; or
• The claims arise out of the same transaction or occurrence, or series of transactions or occurrences.
(b) After all responsive pleadings have
(a) The panel may sanction a party for failure to comply with any provision in the Code, or any order of the panel or single arbitrator authorized to act on behalf of the panel. Unless prohibited by applicable law, sanctions may include, but are not limited to:
• Assessing monetary penalties payable to one or more parties;
• Precluding a party from
(a) The parties may agree in writing to extend or modify any deadline for:
• Serving an answer;
• Returning arbitrator or chairperson lists;
• Responding to motions; or
• Exchanging documents or witness lists.
If the parties agree to extend or modify a deadline under this rule, they must notify the
Sec. 4.10 The Board may adopt such rules, regulations, and requirements for the conduct of the business and management of FINRA Regulation not inconsistent with the law, the Restated Certificate of Incorporation, these By-Laws, the Delegation Plan, the Rules of the Corporation, or the By-Laws of FINRA, as the Board may deem proper. A Director shall, in the performance of such Director's
(a) Assignment of Responsibility for General Ledger Accounts
Each capital acquisition broker must designate an associated person who is responsible for each general ledger bookkeeping account and account of like function used by the broker and such associated person must control and oversee entries into each such account and must determine that the account is current and accurate as
(a) No communication with the public by a capital acquisition broker may:
(1) include any false, exaggerated, unwarranted, promissory or misleading statement or claim;
(2) omit any material fact or qualification if the omission, in light of the context of the material presented, would cause the communication to be misleading;
(3) state or imply that FINRA, or any other corporate