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

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
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
The Parties shall serve documents by electronic mail, unless they agree to an alternative method of service. Service by electronic mail shall be deemed complete upon sending of the document(s).
(c) Filing Requirement
The paper that is served upon a Party, along with the certificate of service executed in connection with the service upon such Party, shall be filed with FINRA pursuant to Rule 9135.
(d) 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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