Contents:

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
IM-12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes
12100. Definitions
12101. Applicability of Code and Incorporation by Reference
12102. National Arbitration and Mediation Committee
12103. Director of Dispute Resolution
12104. Effect of Arbitration on FINRA Regulatory Activities
12105. Agreement of the Parties

PART II GENERAL ARBITRATION RULES
12200. Arbitration Under an Arbitration Agreement or the Rules of FINRA
12201. Elective Arbitration
12202. Claims Against Inactive Members
12203. Denial of FINRA Forum
12204. Class Action Claims
12205. Shareholder Derivative Actions
12206. Time Limits
12207. Extension of Deadlines
12208. Representation of Parties
12209. Legal Proceedings
12210. Ex Parte Communications
12211. Direct Communication Between Parties and Arbitrators
12212. Sanctions
12213. Hearing Locations
12214. Payment of Arbitrators

PART III INITIATING AND RESPONDING TO CLAIMS
12300. Filing and Serving Documents
12301. Service on Associated Persons
12302. Filing an Initial Statement of Claim
12303. Answering the Statement of Claim
12304. Answering Counterclaims
12305. Answering Cross Claims
12306. Answering Third Party Claims
12307. Deficient Claims
12308. Loss of Defenses Due to Untimely or Incomplete Answer
12309. Amending Pleadings
12310. Answering Amended Claims
12311. Amendments to Amount in Dispute
12312. Multiple Claimants
12313. Multiple Respondents
12314. Combining Claims

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
12400. Neutral List Selection System and Arbitrator Rosters
12401. Number of Arbitrators
12402. Cases with One Arbitrator
12403. Cases with Three Arbitrators
12404. Additional Parties
12405. Disclosures Required of Arbitrators
12406. Arbitrator Recusal
12407. Removal of Arbitrator by Director
12408. Director's Discretionary Authority
12409. Jurisdiction of Panel and Authority to Interpret the Code
12410. Determinations of Arbitration Panel

PART V PREHEARING PROCEDURES AND DISCOVERY
12500. Initial Prehearing Conference
12501. Other Prehearing Conferences
12502. Recording Prehearing Conferences
12503. Motions
12504. Motions to Dismiss
12505. Cooperation of Parties in Discovery
12506. Document Production Lists
12507. Other Discovery Requests
12508. Objecting to Discovery; Waiver of Objection
12509. Motions to Compel Discovery
12510. Depositions
12511. Discovery Sanctions
12512. Subpoenas
12513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas
12514. Prehearing Exchange of Documents and Witness Lists, and Explained Decision Requests

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
12600. Required Hearings
12601. Postponement of Hearings
12602. Attendance at Hearings
12603. Failure to Appear
12604. Evidence
12605. Witness Oath
12606. Record of Proceedings
12607. Order of Presentation of Evidence and Arguments
12608. Closing the Record
12609. Reopening the Record

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
12700. Dismissal of Proceedings Prior to Award
12701. Settlement
12702. Withdrawal of Claims

PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS
12800. Simplified Arbitration
12801. Default Proceedings
12805. Expungement of Customer Dispute Information under Rule 2080

PART IX FEES AND AWARDS
12900. Fees Due When a Claim Is Filed
12901. Member Surcharge
12902. Hearing Session Fees, and Other Costs and Expenses
12903. Process Fees Paid by Members
12904. Awards
12905. Submissions After a Case Has Closed