13302. Filing and Serving an Initial Statement of Claim
(a) Filing Claim with the Director
To initiate an arbitration, a claimant must file the following with the Director:
(1) Signed and dated Submission Agreement; and
(2) A statement of claim specifying the relevant facts and remedies requested.
The claimant may include any additional documents supporting the statement of claim.
(b) Fees
At the time the statement of claim is filed, the claimant must pay all required filing fees by credit card or automated clearing house (ACH) through the Party Portal.
(c) Service by Director
Unless the statement of claim is deficient under Rule 13307, the Director will serve the Claim Notification Letter on the respondent(s) pursuant to Rule 13302. The Director will send a copy of the Submission Agreement, the statement of claim, and any additional materials filed by the claimant to each arbitrator by first-class mail, overnight mail service, overnight delivery service, hand delivery, email or facsimile or through the Arbitrator and Mediator Portal, once the panel has been appointed.
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Amended by SR-FINRA-2016-029 eff. April 3, 2017. Amended by SR-FINRA-2010-050 eff. Sep. 27, 2010. Amended by SR-FINRA-2008-031 eff. Feb. 9, 2009. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended by SR-FINRA-2007-042 eff. Dec. 27, 2007. Adopted by SR-NASD-2004-011 eff. April 16, 2007. Selected Notices: 07-07, 08-57, 09-04, 17-03. |
- Regulatory Notice 09-04January 09, 2009