Expand All 9210. Complaint and Answer 9211. Authorization of Complaint 9212. Complaint Issuance — Requirements, Service, Amendment, Withdrawal, and Docketing 9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel 9214. Consolidation or Severance of Disciplinary Proceedings 9215. Answer to Complaint 9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEC Rule 19d-1(c)(2) 9220. Request for Hearing; Extensions of Time, Postponements, Adjournments 9221. Request for Hearing 9222. Extensions of Time, Postponements, and Adjournments 9230. Appointment of Hearing Panel, Extended Hearing Panel 9231. Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer 9232. Criteria for Selection of Panelists and Replacement Panelists 9233. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Hearing Officers 9234. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Panelists 9235. Hearing Officer Authority 9240. Pre-hearing Conference and Submission 9241. Pre-hearing Conference 9242. Pre-hearing Submission 9250. Discovery 9251. Inspection and Copying of Documents in Possession of Staff 9252. Requests for Information 9253. Production of Witness Statements 9260. Hearing and Decision 9261. Evidence and Procedure in Hearing 9262. Testimony 9263. Evidence: Admissibility 9264. Motion for Summary Disposition 9265. Record of Hearing 9266. Proposed Findings of Fact, Conclusions of Law, and Post-Hearing Briefs 9267. Record; Supplemental Documents Attached to Record; Retention 9268. Decision of Hearing Panel or Extended Hearing Panel 9269. Default Decisions 9270. Settlement Procedure 9280. Contemptuous Conduct 9290. Expedited Disciplinary Proceedings Book traversal links for 9200. DISCIPLINARY PROCEEDINGS ‹ 9160. Recusal or Disqualification Up 9210. Complaint and Answer ›
