FINRA Industry Arbitration: A Step-by-Step Guide | Practical Law

FINRA Industry Arbitration: A Step-by-Step Guide | Practical Law

A Practice Note describing the necessary steps for initiating and conducting an arbitration of an industry dispute in the US before the Financial Industry Regulatory Authority (FINRA) under the FINRA Code of Arbitration Procedure for Industry Disputes. This Note discusses the filing of a statement of claim, answer, and motions, as well as arbitrator appointment, discovery, hearings, sanctions, and awards in Industry arbitrations.

FINRA Industry Arbitration: A Step-by-Step Guide

Practical Law Practice Note w-000-4413 (Approx. 45 pages)

FINRA Industry Arbitration: A Step-by-Step Guide

by Practical Law Arbitration
MaintainedUSA (National/Federal)
A Practice Note describing the necessary steps for initiating and conducting an arbitration of an industry dispute in the US before the Financial Industry Regulatory Authority (FINRA) under the FINRA Code of Arbitration Procedure for Industry Disputes. This Note discusses the filing of a statement of claim, answer, and motions, as well as arbitrator appointment, discovery, hearings, sanctions, and awards in Industry arbitrations.