… 9523. Acceptance of Member Regulation Recommendations and Supervisory Plans by Consent Pursuant to SEA Rule 19h-1 … rulesguidancerulebooksfinrarules9523 … /rules-guidance/rulebooks/finra-rules/9523 … (a) With respect to all disqualifications, except those arising solely from findings or orders specified in Section … member or sponsoring member or the association or continuing association of a disqualified person pursuant to a supervisory plan where the disqualified member, sponsoring member, and/or disqualified person, as the …
… 9370. Application to SEC for Review … rulesguidancerulebooksfinrarules9370 … /rules-guidance/rulebooks/finra-rules/9370 … (a) Appeal to SEC; Effect The right to have any action pursuant to the Rule 9200 Series or the Rule 9300 Series reviewed by the SEC is governed by …
… 9345. Subcommittee or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council … rulesguidancerulebooksfinrarules9345 … … or, if applicable, an Extended Proceeding Committee, shall present a recommended decision in writing to the National Adjudicatory Council before the meeting of the National Adjudicatory Council at which the … rules … 9345. … Notices - 08-57 … 9345. Subcommittee or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council …
… 9344. Failure to Participate Below; Abandonment of Appeal … rulesguidancerulebooksfinrarules9344 … /rules-guidance/rulebooks/finra-rules/9344 … (a) Failure to Participate Below If an appealing Party did not participate in the disciplinary proceeding before a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, and fails to show good cause for the failure to participate, the matter shall be considered by the Subcommittee or, if …
… 9342. Failure to Appear at Oral Argument … rulesguidancerulebooksfinrarules9342 … /rules-guidance/rulebooks/finra-rules/9342 … A Party who requests oral argument but fails to appear after being duly notified shall be deemed to have waived any opportunity for oral argument provided under the Rule 9300 Series. The Subcommittee or, if …
… 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 …
… 13308. Loss of Defenses Due to Untimely or Incomplete Answer … rulesguidancerulebooksfinrarules13308 … … may, upon motion, bar that party from presenting any defenses or facts at the hearing, unless the time to answer was extended in accordance with the Code. The party may also be subject to default proceedings under Rule 13801 , if the conditions of Rule 13801 (a) apply. (b) If a party answers a …
