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(a) Tape, Digital, or Other Recording
(1) Except as provided in paragraph (b), the Director will make a tape, digital, or other recording of every hearing. The Director will provide a copy of the recording to any party upon request.
(2) The panel may order the parties to provide a transcription of the recording. If the panel orders a transcription, copies of the
Last modified: October 16, 2023In accordance with the FINRA Codes of Arbitration Procedure (Codes), FINRA Dispute Resolution Services (DRS) is notifying state securities regulators of requests to expunge customer dispute information from the Central Registration Depository (CRD®) received by DRS within the past 15 days that are not deficient. See FINRA Rules 12800(f)(1), 12805(b), and 13805(b)(2
(a) Discretion of Hearing Officer to Require Proposed Findings of Fact, Conclusions of Law, and Post-Hearing Briefs
At the discretion of the Hearing Officer, the Parties may be ordered to file proposed findings of facts and conclusions of law, or post-hearing briefs, or both. The Hearing Officer may order that such proposed findings and conclusions be filed together with, or as part of,
(a) Availability
At any time prior to the issuance of the decision of the Hearing Panel or, if applicable, the Extended Hearing Panel, the Hearing Officer may, for good cause shown, extend or shorten any time limits prescribed by the Code for the filing of any papers and may, consistent with paragraph (b), postpone or adjourn any hearing.
(b) Limitations on Postponements, Adjournments
(a) Proceedings
The Rule 9000 Series is the Code of Procedure and includes proceedings for disciplining a member or person associated with a member; proceedings for regulating the activities of a member experiencing financial or operational difficulties; proceedings for summary or non-summary suspensions, cancellations, bars, prohibitions, or limitations; and proceedings for obtaining
(a) Irregular Delivery
Reclamation, by reason of the fact of an irregularity in the delivery of a security, shall be within 30 months after the settlement date of the contract. For purposes of this paragraph (a), the term "irregular delivery" shall include, among other things, wrong, duplicate, misdirected or over-deliveries and delivery of unit investment trust securities having
(a) A mediator may be selected:
(1) By the parties from a list supplied by the Director;
(2) With the Director's approval upon receipt of the parties' joint request, from a list or other source the parties choose; or
(3) By the Director if the parties do not select a mediator after submitting a matter to mediation.
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(a) Representation by a PartyParties may represent themselves in an arbitration held in a United States hearing location. A member of a partnership may represent the partnership; and a bona fide officer of a corporation, trust, or association may represent the corporation, trust, or association.(b) Representation by Others(1) At any stage of an arbitration proceeding held in a United States
(a) Representation by a PartyParties may represent themselves in an arbitration held in a United States hearing location. A member of a partnership may represent the partnership; and a bona fide officer of a corporation, trust, or association may represent the corporation, trust, or association.(b) Representation by Others(1) At any stage of an arbitration proceeding held in a United States
SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device