Originally from Securities Arbitration: Practice and Forms - Third Edition

SYNOPSIS

§ 8.01 Background

§ 8.02 When Hearings Are Not Required

§ 8.03 Failure of a Party to Appear

§ 8.04 Who May Attend the Hearing
[1] The Parties
[2] Counsel
[3] Non-Party Witnesses
[4] FINRA Staff
[5] Others

§ 8.05 The Creation of a Record

§ 8.06 Burden of Proof

§ 8.07 Order of Proceedings
[1] Preliminary Proceedings
[2] Opening Statements by the Parties
[3] Order of Presentation of the Parties’ Cases
[a] In General
[b] The Claimant’s Case
[c] Motion at Close of Claimant’s Case
[d] The Respondent’s Case
[e] Claimant’s Rebuttal Case
[f] Closing Statements
[4] Conclusion of the Hearing
[5] Post-Hearing Briefs

§ 8.08 Reopening Hearings

§ 8.09 Motion for Reconsideration

§ 8.10 Rules of Evidence
[1] In General
[2] “Arbitral” Notice
[3] Evidentiary Privileges
[4] Objections

§ 8.11 Testimony
[1] Procuring the Attendance of Witnesses
[2] Testimony in General
[3] Direct Examination
[4] Cross-Examination
[5] Redirect and Recross
[6] Use of Prior Testimony
[7] Use of Affidavits
[8] Expert Testimony

§ 8.12 Documentary Evidence

§ 8.13 Adjournments

§ 8.14 The Arbitrators as Judges