Skip to main content

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

9242. Pre-hearing Submission

This rule is no longer applicable. NASD Rule 9242 has been superseded by FINRA Rule 9242. Please consult the appropriate FINRA Rule.

(a) Requirement to Furnish Information
Prior to a hearing before a Hearing Panel or, if applicable, an Extended Hearing Panel, the Hearing Officer, in the exercise of his or her discretion, may order a Party to furnish to all other Parties and the Hearing Panel or, if applicable, the Extended Hearing Panel, such information as deemed appropriate, including any or all of the following:
(1) an outline or narrative summary of a Party's case or defense;
(2) the legal theories upon which a Party shall rely;
(3) a list and copies of documents that a Party intends to introduce at the hearing;
(4) a list of witnesses who shall testify on a Party's behalf, including the witnesses' names, occupations, addresses, and a brief summary of their expected testimony; and,
(5) if a witness shall be called to testify as an expert, a statement of the expert's qualifications, a listing of other proceedings in which the expert has given expert testimony, a list of the expert's publications, and copies of those publications that are not readily available to the other Parties and the Hearing Panel or, if applicable, the Extended Hearing Panel.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.