This rule is no longer applicable. NASD
Rule 9242 has been superseded by FINRA Rule 9242. Please consult the appropriate FINRA Rule.
(a) Requirement to Furnish Information
Prior to a hearing before a Hearing Panel or, if applicable, an Extended Hearing Panel, the Hearing Officer, in the exercise of his or her discretion, may order a Party to furnish to all other Parties and the Hearing Panel or, if applicable, the Extended Hearing Panel, such information as deemed appropriate, including any or all of the following:
(1) an outline or narrative summary of a Party's case or defense;
(2) the legal theories upon which a Party shall rely;
(3) a list and copies of documents that a Party intends to introduce at the hearing;
(4) a list of witnesses who shall testify on a Party's behalf, including the witnesses' names, occupations, addresses, and a brief summary of their expected testimony; and,
(5) if a witness shall be called to testify as an expert, a statement of the expert's qualifications, a listing of other proceedings in which the expert has given expert testimony, a list of the expert's publications, and copies of those publications that are not readily available to the other Parties and the Hearing Panel or, if applicable, the Extended Hearing Panel.