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9132. Service of Orders, Notices, and Decisions by Adjudicator

This version was introduced with the filing of SR-FINRA-2020-015, and extended by SR-FINRA-2020-017, SR-FINRA-2020-022, SR-FINRA-2020-042, and SR-FINRA-2021-006 which were filed for immediate effectiveness. This version is temporary and effective from May 8, 2020, through August 31, 2021, pending any future extensions.
(a) Service on Each Party
An order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the Rule 9200 Series shall be served on each Party, or each Party's counsel, or other person the Party designates to represent him or her in a proceeding by the Office of Hearing Officers. An order, notice, or decision issued by any other Adjudicator shall be served by that Adjudicator.
(b) How Served
An order, notice, or decision shall be served pursuant to Rule 9134 or by electronic mail. Service by electronic mail shall be deemed complete upon sending the order, notice or decision.
(c) Service Upon Counsel or Other Person Acting In Representative Capacity
Whenever service is required to be made upon a person represented by counsel or a representative who has filed a notice of appearance pursuant to Rule 9141, service shall be made upon counsel or the representative. The Adjudicator, at its discretion, may also order that service be made upon the person.
Amended by SR-FINRA-2021-006 eff. April 1, 2021.
Amended by SR-FINRA-2020-042 eff. Dec. 1, 2020.
Amended by SR-FINRA-2020-022 eff. July 27, 2020.
Amended by SR-FINRA-2020-017 eff. June 10, 2020.
Amended by SR-FINRA-2020-015 eff. May 8, 2020.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended eff. Oct. 18, 1990.

Selected Notice: 08-57.

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