Skip to main content

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

9150. Exclusion From Rule 9000 Series Proceeding

This rule is no longer applicable. NASD Rule 9150 has been superseded by FINRA Rule 9150. Please consult the appropriate FINRA Rule.

(a) Exclusion
An Adjudicator may exclude an attorney for a Party or other person authorized to represent others by Rule 9141 from acting as counsel, acting in any representative capacity, or otherwise appearing in a particular Rule 9000 Series proceeding for contemptuous conduct under Rule 9280 or unethical or improper professional conduct in that proceeding. If an attorney for a Party, or other person authorized to represent others by Rule 9141, is excluded from a disciplinary hearing or conference, or any portion thereof, such attorney or person may seek review by the National Adjudicatory Council of such exclusion under Rule 9280(c).
(b) Other Proceedings Not Precluded
Prohibiting an attorney or other person authorized to represent others by Rule 9141 from practicing or appearing in an Association proceeding shall not preclude the Association from initiating other proceedings against such person.
Amended by SR-NASD-97-81 eff. Jan. 16, 1998.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

No Results Found

No Results Found

No Results Found

No Results Found