The Code applies to any matter submitted to mediation at FINRA.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 10402 and amended by SR-NASD-2007-022 eff. April 16, 2007.
Adopted by SR-NASD-2004-013 eff. Jan. 30, 2006.Selected Notices: 05-85, 08-57.
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
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14100.
(a) Parties may not submit documents to arbitrator(s) in cases that have been closed except under the following limited circumstances:
(1) as ordered by a court;
(2) at the request of any party within 10 days of service of an award or notice that a matter has been closed, for typographical or computational errors, or mistakes in the description of any person or property referred to in
(a) All awards shall be in writing and signed by a majority of the arbitrators or as required by applicable law. Such awards may be entered as a judgment in any court of competent jurisdiction.
(b) Unless the applicable law directs otherwise, all awards rendered under the Code are final and are not subject to review or appeal.
(c) The Director will serve the award on each party, or the
(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. Parties to a pending arbitration may seek a temporary injunctive order from a court of competent jurisdiction even if another party has already filed a claim arising from the same
(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
(a) Applicability of Rule
This rule applies to arbitrations involving a sexual assault claim, sexual harassment claim, or statutory employment discrimination claim as defined in Rule 13100(aa), (bb), and (dd). Except as otherwise provided in this rule, all provisions of the Code apply to such arbitrations.
(b) Number of Arbitrators
(1) Claims of $100,000 or Less
If the amount of a claim in a
(a) Applicability of Rule
A claimant may request default proceedings against any respondent that falls within one of the following categories and fails to file an answer within the time provided by the Code:
(1) A member whose membership has been terminated, suspended, canceled, or revoked;
(2) A member that has been expelled from the FINRA;
(3) A member that is otherwise defunct; or
(4) An
