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Finra subpoena Form: What You Should Know

Written Subpoenas; Financial Instruments | FINRA.org (d) A copy of your written subpoena must be served on each party who is a party to the action promptly before the date it is served on the other party pursuant to paragraph (c) above. In addition to serving the written subpoena as required in the second paragraph, the party requesting its execution may send a copy of the subpoena to its creditors, and to the person (other than another party) to whom the party is liable as provided in Rule 8.16. Unless circumstances dictate the Neutral Corner Volume 3 – 2022 | FINRA, the third paragraph of this rule must be complied with. (e) A subpoena served pursuant to this rule must be served on all other parties, including persons whom you are to serve as adverse witnesses and counsel, unless a different provision of this rule, paragraph (b), requires that, in those cases, that person may be served in another manner. (f) Failure to serve on any party or person to whom a subpoena is required by this order may result in the subpoena being ineffective and not being enforced. If the party or person who is served so requests in writing, or if the subpoena is otherwise not effectively served within seven calendar days of its submission, the party or person who is served may institute an action in the appropriate court at law pursuant to Rule 5-802. Conducting Arbitration | FINRA.org Rules for Conducting Arbitration | FINRA.org The following rules govern arbitration conducted by the Consumer Financial Protection Bureau, including all disputes with respect to the enforceability of this order, and the bureau or the bureau's employees and agents, employees, agents or subsidiaries: Rule 12 — Disposition of Cases When a party seeks arbitration, in addition to providing written notification, the parties must agree on the date on which any arbitration will be conducted and the process to be used. (a) Arbitration shall be conducted in accordance with an arbitration plan approved by the Bureau and the Consumer Financial Protection Bureau, except as otherwise provided in this rule. Where a party seeks arbitration pursuant to this order, the parties shall make their agreement available to the other party not less than seven days before the date that the arbitration is to begin.

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