9261. Evidence and Procedure in Hearing
This version contains temporary amendments introduced with the filing of SR-FINRA-2020-027, which was filed for Immediate Effectiveness. The temporary amendments in SR-FINRA-2020-027 became operative on October 1, 2020, and as extended by SR-FINRA-2020-042, SR-FINRA-2021-006, SR-FINRA-2021-019, SR-FINRA-2021-031, SR-FINRA-2022-004, SR-FINRA-2022-018 and SR-FINRA-2022-029, are in effect through January 31, 2023, pending any future extensions.
(a) Submission of Documentary Evidence and List of Witnesses Before Hearing
No later than ten days before the hearing, or at such earlier date as may be specified by the Hearing Officer, each Party shall submit to all other Parties and to the Hearing Officer copies of documentary evidence and the names of the witnesses each Party intends to present at the hearing. The documentary evidence submitted by the Parties prior to the hearing pursuant to this paragraph shall not become part of the record, unless the Hearing Officer, Hearing Panel, or Extended Hearing Panel orders some or all of it included pursuant to Rule 9267(a)(8). The Hearing Officer may order each Party to refrain from submitting its documentary evidence to the Hearing Officer.
(b) Party's Right to Be Heard
If a hearing is held, a Party shall be entitled to be heard in person, by counsel, or by the Party's representative. Upon consideration of the current public health risks presented by an in-person hearing, the Chief Hearing Officer or Deputy Chief Hearing Officer may, on a temporary basis, determine that the hearing shall be conducted, in whole or in part, by video conference.
(c) Request to Submit Additional Evidence
Notwithstanding paragraph (a), a Party, for good cause shown, may seek to submit any additional evidence at the hearing as the Hearing Officer, in his or her discretion, determines may be relevant and necessary for a complete record.
|Amended by SR-FINRA-2022-029 eff. Oct. 17, 2022.
Amended by SR-FINRA-2022-018 eff. July 8, 2022.
Amended by SR-FINRA-2022-004 eff. Mar. 7, 2022.
Amended by SR-FINRA-2021-031 eff. Dec. 7, 2021.
Amended by SR-FINRA-2021-019 eff. August 13, 2021.
Amended by SR-FINRA-2021-006 eff. April 1, 2021.
Amended by SR-FINRA-2020-042 eff. Dec. 1, 2020.
Amended by SR-FINRA-2020-027 eff. Oct. 1, 2020.
Amended by SR-FINRA-2011-044 eff. Mar. 30, 2012.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.
Selected Notices: 08-57, 12-12.