… 9313. Counsel to National Adjudicatory Council … rulesguidancerulebooksfinrarules9313 … /rules-guidance/rulebooks/finra-rules/9313 … (a) Authority A Counsel to the National Adjudicatory Council shall have authority to take ministerial and administrative actions to further the efficient administration of a proceeding, …
… 9310. Appeal to or Review by National Adjudicatory Council … rulesguidancerulebooksfinrarules9310 … … … FINRA Rules - 9310. FINRA Rules 9310. Rule … rules … 9310. … 9310. Appeal to or Review by National Adjudicatory Council …
… 9267. Record; Supplemental Documents Attached to Record; Retention … rulesguidancerulebooksfinrarules9267 … /rules-guidance/rulebooks/finra-rules/9267 … (a) … application, motion, submission, and other paper, and any amendments, motions, objections, and exceptions to or regarding them; (3) each transcript of a pre-hearing conference and of a hearing, and each stipulation, … (4) each written communication accepted at the discretion of the Hearing Officer; (5) with respect to a motion to disqualify a Hearing Officer under Rule 9233 or a Panelist under Rule 9234 , each affidavit or …
… 9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2) … rulesguidancerulebooksfinrarules9216 … /rules-guidance/rulebooks/finra-rules/9216 … … Waiver, and Consent Procedures (1) Notwithstanding Rule 9211 , if the Department of Enforcement has reason to believe a violation has occurred and the member or associated person does not dispute the violation, the … request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing …
… 9215. Answer to Complaint … rulesguidancerulebooksfinrarules9215 … /rules-guidance/rulebooks/finra-rules/9215 … (a) Form, Service, Notice Pursuant to Rule 9133 , each Respondent named in a complaint shall serve an answer to the complaint on all other Parties within 25 days after service of the complaint on such Respondent, and at …
… 9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel … rulesguidancerulebooksfinrarules9213 … … a complaint with the Office of Hearing Officers, the Chief Hearing Officer shall assign a Hearing Officer to preside over the disciplinary proceeding and shall serve the Parties with notice of the Hearing Officer's assignment pursuant to Rule 9132 . (b) Appointment of Panelists As soon as practicable after assigning a Hearing Officer to …
… 8320. Payment of Fines, Other Monetary Sanctions, or Costs; Summary Action for Failure to Pay … rulesguidancerulebooksfinrarules8320 … /rules-guidance/rulebooks/finra-rules/8320 … (a) Payment to Treasurer All fines and other monetary sanctions shall be paid to the Treasurer of FINRA and shall be used for the general corporate purposes. (b) Summary Suspension or …
… 8110. Availability of Manual to Customers … rulesguidancerulebooksfinrarules8110 … /rules-guidance/rulebooks/finra-rules/8110 … Members … examination by customers upon request. Members may comply with this Rule by maintaining electronic access to the FINRA Manual and providing customers with such access upon request. Amended by SR-FINRA-2008-021 eff. … Rule … rules … 8110. … Notices - 89-71 … Notices - 90-74 … Notices - 08-57 … 8110. Availability of Manual to Customers …
… 7583. Penalties Incurred Pursuant to the National Market System Data Plans … rulesguidancerulebooksfinrarules7583 … … through any penalties incurred under the National Market System data plans and allocate them accordingly to the ADF Trading Center that exceeds its projected message traffic. Each ADF Trading Center will be invoiced … System Plans: (1) FINRA will use the metrics of the applicable Securities Information Processor (SIP) to determine if a penalty has been incurred and will use its own metrics to allocate the penalty to the …
… 7350. Obligation to Honor Trades … rulesguidancerulebooksfinrarules7350 … /rules-guidance/rulebooks/finra-rules/7350 … If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a …
