Displaying 34121 - 34130 of 34823 Results
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
/**/
14100. Definitions
14101. Applicability of Code
14102. National Arbitration and Mediation Committee
14103. Director of Mediation
14104. Mediation under the Code
14105. Effect of Mediation on Arbitration Proceedings
14106. Representation of Parties
14107. Mediator Selection
14108. Limitation on Liability
14109. Mediation Ground Rules
14110. Mediation Fees
(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) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 13403(b), as set forth in the schedule below.
Process Fee Schedule
Amount of Claim
(exclusive of interest
and expenses)
Process Fee
$.01–$
(a) Hearing Session Fees
(1) Hearing session fees will be charged for each hearing session. The total amount chargeable to the parties for each hearing session is based on the amount in dispute, as specified in the schedule below. In the award, the panel will determine the amount of each hearing session fee that each party must pay.
Hearing Session Fees
Amount of Claim(exclusive of interest
(a) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(1) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(2) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or
(3) Employed, at the time the dispute arose, an associated person who is named as a
(a) Fees for Claims Filed by Associated Persons
(1) Associated persons who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Associated Persons
Amount of Claim
(exclusive of interest
and expenses)
Filing Fee
$.01 to $1,000
$50
$1,000.01 to $2,500
$75
$2,500.