10000. CODE OF ARBITRATION PROCEDURE
- 10100. ADMINISTRATIVE PROVISIONS
- IM-10100. Failure to Act Under Provisions of Code of Arbitration Procedure
- 10101. Matters Eligible for Submission
- 10102. National Arbitration and Mediation Committee
- 10103. Director of Arbitration
- 10104. Composition and Appointment of Panels
- 10105. Non-Waiver of FINRA Objects and Purposes
- 10106. Legal Proceedings
- 10200. INDUSTRY AND CLEARING CONTROVERSIES
- 10201. Required Submission
- 10202. Composition of Panels
- 10203. Simplified Industry Arbitration
- 10204. Applicability of Uniform Code
- 10205. Schedule of Fees for Industry and Clearing Controversies
- 10210. Statutory Employment Discrimination Claims
- 10211. Special Arbitrator Qualifications for Employment Discrimination Disputes
- 10212. Composition of Panels
- 10213. Discovery
- 10214. Awards
- 10215. Attorneys' Fees
- 10216. Coordination of Claims Filed in Court and in Arbitration
- 10217. Fees
- 10300. UNIFORM CODE OF ARBITRATION
- 10301. Required Submission
- 10302. Simplified Arbitration
- 10303. Hearing Requirements—Waiver of Hearing
- 10304. Time Limitation Upon Submission
- 10305. Dismissal of Proceedings
- 10306. Settlements
- 10307. Tolling of Time Limitation(s) for the Institution of Legal Proceedings and Extension of Time Limitation(s) for Submission to Arbitration
- 10308. Selection of Arbitrators
- 10309. Composition of Panels
- 10310. Notice of Selection of Arbitrators
- 10311. Peremptory Challenge
- 10312. Disclosures Required of Arbitrators and Director's Authority to Disqualify
- 10313. Disqualification or Other Disability of Arbitrators
- 10314. Initiation of Proceedings
- 10315. Determination of Hearing Location
- 10316. Representation by Counsel
- 10317. Attendance at Hearings
- 10318. Failure to Appear
- 10319. Adjournments
- 10320. Acknowledgement of Pleadings
- 10321. General Provisions Governing Pre-Hearing Proceedings
- 10322. Subpoenas and Power to Direct Appearances
- 10323. Evidence
- 10324. Interpretation of Provisions of Code and Enforcement of Arbitrator Rulings
- 10325. Determination of Arbitrators
- 10326. Record of Proceedings
- 10327. Oaths of the Arbitrators and Witnesses
- 10328. Amendments
- 10329. Reopening of Hearings
- 10330. Awards
- 10331. Incorporation by Reference
- 10332. Schedule of Fees for Customer Disputes
- 10333. Member Surcharge and Process Fees
- 10334. Direct Communication Between Parties and Arbitrators
- 10335. Temporary Injunctive Orders; Requests for Permanent Injunctive Relief
- Regulatory Notice 16-37October 17, 2016
- Regulatory Notice 14-09February 26, 2014
- Regulatory Notice 08-57October 16, 2008