9134. Methods of, Procedures for Service

(a) Methods
The following methods of service are permitted except as provided in paragraph (c) in proceedings before the Office of Hearing Officers:
(1) Personal Service
Personal service may be accomplished by handing a copy of the papers to the person required to be served; leaving a copy at the person's office with an employee or other person in charge thereof; or leaving a copy at the person's dwelling or usual place of ab

9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions

(a) Service on Each Party
Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be served on each Party by the Party on whose behalf such paper was prepared or by his or her counsel or representative.
(b) How Served
For documents required to be served in proceedings before the Office of Hearing Officers pursuant to the Rule 9000 Series, the Parties shall serve documents pursuant

9120. Definitions

(a) "Adjudicator"
The term "Adjudicator" means:
(1) a body, board, committee, group, or natural person that presides over a proceeding and renders a decision;
(2) a body, board, committee, group, or natural person that presides over a proceeding and renders a recommended or proposed decision which is acted upon by an Adjudicator described in paragraph (a)(1); or
(3) a natural person who serves on a body, bo

9110. Application

(a) Proceedings
The Rule 9000 Series is the Code of Procedure and includes proceedings for disciplining a member or person associated with a member; proceedings for regulating the activities of a member experiencing financial or operational difficulties; proceedings for summary or non-summary suspensions, cancellations, bars, prohibitions, or limitations; and proceedings for obtaining relief from the eligibility requirements of the FINRA By-Laws and

9000. CODE OF PROCEDURE

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  • 9100. APPLICATION AND PURPOSE

8330. Costs of Proceedings

A member or person associated with a member disciplined pursuant to Rule 8310 shall bear such costs of the proceeding as the Adjudicator deems fair and appropriate under the circumstances.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended Nov. 1, 1991; Apr. 15, 1992.
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