(a) The Director may decline to permit the use of the FINRA arbitration forum if the Director determines that, given the purposes of FINRA and the intent of the Code, the subject matter of the dispute is inappropriate, or that accepting the matter would pose a risk to the health or safety of arbitrators, staff, or parties or their representatives. Only the Director may exercise the authority
(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
Effective October 16, 2023, FINRA revised Rules 12800 and 12805 of the Code of Arbitration Procedure for Customer Disputes (Customer Code) and Rule 13805 of the Code of Arbitration Procedure for Industry Disputes (Industry Code) relating to the expungement of customer dispute information from the Central Registration Depository (CRD®). These frequently asked questions provide guidance regarding
The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.
Individuals with Limited English Proficienc)y (LEP) can request additional time to complete a qualification examination or Regulatory Element Continuing Education (CE) session.
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
(a) Applicability
This Rule applies to claims that request expungement of customer dispute information filed by an associated person against a member firm, pursuant to Rule 13805. Except as otherwise provided in this Rule, all provisions of the Code apply to such claims.
(b) Selection of Panel
(1) The list selection algorithm shall randomly select three public arbitrators who are eligible for
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
IM-12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes
12100. Definitions
12101. Applicability of Code and Incorporation by Reference
12102. National Arbitration and Mediation Committee
12103. Director of FINRA Dispute Resolution Services
12104.
