Αποτελέσματα Αναζήτησης
Appeal. An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under . The notice of appeal shall be filed with the Office of General Counsel of FINRA, with a copy of the notice also provided to the appropriate department or staff of FINRA.
9100. APPLICATION AND PURPOSE 9110. Application 9120. Definitions 9130. Service; Filing of Papers 9131. Service of Complaint 9132. Service of Orders, Notices, and Decisions by Adjudicator 9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions 9134. Methods of, Procedures for Service 9135. Filing of Papers with Adjudicator: Procedure 9136. Filing of Papers: Form 9137 ...
Rules & Case Resources. On this page, you will find all of the rules, scripts, templates and forms that parties and neutrals will need during the course of an arbitration or a mediation. For more information, please contact your case administrator or your regional office.
FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of customer dispute information.
FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of customer dispute information.
a Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals. I. Introduction. On April 6, 2022, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed with.
FINRA regulations require member firms to permit investors to bring actions before FINRA Dispute Resolution procedures, even in the absence of an arbitration agreement.
