9000. CODE OF PROCEDURE
- 9100. APPLICATION AND PURPOSE
- 9110. Application
- 9120. Definitions
- 9130. Service; Filing of Papers
- 9131. Service of Complaint
- 9132. Service of Orders, Notices, and Decisions by Adjudicator
- 9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions
- 9134. Methods of, Procedures for Service
- 9135. Filing of Papers with Adjudicator: Procedure
- 9136. Filing of Papers: Form
- 9137. Filing of Papers: Signature Requirement and Effect
- 9138. Computation of Time
- 9140. Proceedings
- 9141. Appearance and Practice; Notice of Appearance
- 9142. Withdrawal by Attorney or Representative
- 9143. Ex Parte Communications
- 9144. Separation of Functions
- 9145. Rules of Evidence; Official Notice
- 9146. Motions
- 9147. Rulings On Procedural Matters
- 9148. Interlocutory Review
- 9150. Exclusion From Rule 9000 Series Proceeding
- 9160. Recusal or Disqualification
- 9200. DISCIPLINARY PROCEEDINGS
- 9210. Complaint and Answer
- 9211. Authorization of Complaint
- 9212. Complaint Issuance — Requirements, Service, Amendment, Withdrawal, and Docketing
- 9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel
- 9214. Consolidation or Severance of Disciplinary Proceedings
- 9215. Answer to Complaint
- 9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2)
- 9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
- 9220. Request for Hearing; Extensions of Time, Postponements, Adjournments
- 9221. Request for Hearing
- 9222. Extensions of Time, Postponements, and Adjournments
- 9230. Appointment of Hearing Panel, Extended Hearing Panel
- 9231. Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer
- 9232. Criteria for Selection of Panelists and Replacement Panelists
- 9233. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Hearing Officers
- 9234. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Panelists
- 9235. Hearing Officer Authority
- 9240. Pre-hearing Conference and Submission
- 9241. Pre-hearing Conference
- 9242. Pre-hearing Submission
- 9250. Discovery
- 9251. Inspection and Copying of Documents in Possession of Staff
- 9252. Requests for Information
- 9253. Production of Witness Statements
- 9260. Hearing and Decision
- 9261. Evidence and Procedure in Hearing
- 9262. Testimony
- 9263. Evidence: Admissibility
- 9264. Motion for Summary Disposition
- 9265. Record of Hearing
- 9266. Proposed Findings of Fact, Conclusions of Law, and Post-Hearing Briefs
- 9267. Record; Supplemental Documents Attached to Record; Retention
- 9268. Decision of Hearing Panel or Extended Hearing Panel
- 9269. Default Decisions
- 9270. Settlement Procedure
- 9280. Contemptuous Conduct
- 9285. Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review
- 9290. Expedited Disciplinary Proceedings
- 9291. Permanent Cease and Desist Orders
- 9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW
- 9310. Appeal to or Review by National Adjudicatory Council
- 9311. Appeal by Any Party; Cross-Appeal
- 9312. Review Proceeding Initiated By Adjudicatory Council
- 9313. Counsel to National Adjudicatory Council
- 9320. Transmission of Record; Extensions of Time, Postponements, Adjournments
- 9321. Transmission of Record
- 9322. Extensions of Time, Postponements, Adjournments
- 9330. Appointment of Subcommittee or Extended Proceeding Committee; Disqualification and Recusal
- 9331. Appointment of Subcommittee or Extended Proceeding Committee
- 9332. Disqualification and Recusal
- 9340. Proceedings
- 9341. Oral Argument
- 9342. Failure to Appear at Oral Argument
- 9343. Disposition Without Oral Argument
- 9344. Failure to Participate Below; Abandonment of Appeal
- 9345. Subcommittee or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council
- 9346. Evidence in National Adjudicatory Council Proceedings
- 9347. Filing of Papers in National Adjudicatory Council Proceedings
- 9348. Powers of the National Adjudicatory Council on Review
- 9349. National Adjudicatory Council Formal Consideration; Decision
- 9350. Discretionary Review by FINRA Board
- 9351. Discretionary Review by FINRA Board
- 9360. Effectiveness of Sanctions
- 9370. Application to SEC for Review
- 9500. OTHER PROCEEDINGS
- 9520. Eligibility Proceedings
- 9521. Purpose and Definitions
- 9522. Initiation of Eligibility Proceeding; Member Regulation Consideration; and Requirements for an Interim Plan of Heightened Supervision
- 9523. Acceptance of Member Regulation Recommendations and Supervisory Plans by Consent Pursuant to SEA Rule 19h-1
- 9524. National Adjudicatory Council Consideration
- 9525. Discretionary Review by the FINRA Board
- 9526. Expedited Review
- 9527. Application to SEC for Review
- 9550. Expedited Proceedings
- 9551. Failure to Comply with Public Communication Standards
- 9552. Failure to Provide Information or Keep Information Current
- 9553. Failure to Pay FINRA Dues, Fees and Other Charges
- 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution
- 9555. Failure to Meet the Eligibility or Qualification Standards or Prerequisites for Access to Services
- 9556. Failure to Comply with Temporary and Permanent Cease and Desist Orders, or Orders that Impose Conditions or Restrictions
- 9557. Procedures for Regulating Activities Under Rules 4110, 4120 and 4130 Regarding a Member Experiencing Financial or Operational Difficulties
- 9558. Summary Proceedings for Actions Authorized by Section 15A(h)(3) of the Exchange Act
- 9559. Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series
- 9561. Procedures for Regulating Activities Under Rule 4111
- 9600. PROCEDURES FOR EXEMPTIONS
- 9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS
- 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
- 9900. RESTRICTIONS ON FORMER FINRA OFFICERS AND EMPLOYEES; NONPUBLIC INFORMATION
- Regulatory Notice 18-23July 26, 2018
- Regulatory Notice 16-37October 17, 2016
- Regulatory Notice 16-06January 29, 2016
- Regulatory Notice 14-09February 26, 2014
- Regulatory Notice 13-34October 23, 2013
- Regulatory Notice 13-27August 20, 2013
- Regulatory Notice 12-12March 01, 2012
- Regulatory Notice 08-57October 16, 2008