For updates and guidance related to COVID-19 / Coronavirus, click here.
Decisions on applications shall be in writing and a copy shall be sent to the National Adjudicatory Council’s Review Subcommittee (as defined in Rule 9120(aa)). If not called for review in accordance with Rule 9760, the Hearing Officer shall issue its decision after being notified by the National Adjudicatory Council’s Review Subcommittee that the decision will not be called for review or upon expiration of the time allowed for call for review. The Hearing Officer shall promptly provide a copy of the written decision to the applicant, which shall be effective as of the time of such issuance. The written decision shall contain the reasons supporting the Hearing Officer’s conclusions. The Hearing Officer’s decision shall constitute final FINRA action.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2007-052 eff. Aug. 1, 2008.
Amended by SR-NASD-98-88 eff. May 4, 1999.
Amended by SR-NASD-97-97 eff. Jan. 15, 1998.
Selected Notices: 08-34, 08-57.