Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

9132. Service of Orders, Notices, and Decisions by Adjudicator

This rule is no longer applicable. NASD Rule 9132 has been superseded by FINRA Rule 9132. Please consult the appropriate FINRA Rule.

(a) Service on Each Party
An order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the Rule 9200 Series shall be served on each Party, or each Party's counsel, or other person the Party designates to represent him or her in a proceeding by the Office of Hearing Officers. An order, notice, or decision issued by any other Adjudicator shall be served by that Adjudicator.
(b) How Served
An order, notice, or decision shall be served pursuant to Rule 9134.
(c) 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-NASD-97-28 eff. Aug. 7, 1997.
Amended eff. Oct. 18, 1990.