13609. Reopening the Record
This rule is no longer applicable. NASD Rule 13609 has been superseded by FINRA Rule 13609. Please consult the appropriate FINRA Rule.
The Industry Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new code.
The panel may reopen the record on its own initiative or upon motion of any party at any time before the award is rendered, unless prohibited by applicable law.
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Adopted by SR-NASD-2004-011 eff. April 16, 2007. Selected Notices: 07-07 |