Effective April 3, 2017, all FINRA arbitration participants (except pro se parties) must use FINRA’s web-based DR-Portal to file and serve documents in both customer and industry arbitrations.
Pro se parties may elect to use the Portal or opt-out, using traditional filing and service methods instead.
Exceptions to Portal service include most items involving new or non-parties, documents produced and permanent injunction claims:
- pro se customers who do not elect to use the Party Portal;
- documents produced in response to discovery requests or pursuant to the Discovery Guide;
- answers containing third party claims;
- amended pleadings that add a party to an arbitration proceeding;
- motions to the arbitrators to amend a pleading to add a party;
- subpoenas to non-parties;
- arbitrator orders to non-parties for the appearance of employees and associated persons of a member, or the production of documents in the possession or control of such persons or members; and
- statements of claim requesting permanent injunctive relief.
The Rule changes make use of the Portal permissive in FINRA meditations.
Regulatory Notice 17-03 (January 2017) is here.