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9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions

This rule is no longer applicable. NASD Rule 9133 has been superseded by FINRA Rule 9133. Please consult the appropriate FINRA Rule.

(a) Service on Each Party
Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be served on each Party by the Party on whose behalf such paper was prepared or by his or her counsel or representative.
(b) How Served
The paper shall be served pursuant to Rule 9134.
(c) Filing Requirement
The paper that is served upon a Party, along with the certificate of service executed in connection with the service upon such Party, shall be filed with the Association pursuant to Rule 9135.
(d) 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.