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9261. Evidence and Procedure in Hearing

This rule is no longer applicable. NASD Rule 9261 has been superseded by FINRA Rule 9261. Please consult the appropriate FINRA Rule.

(a) Submission of Documentary Evidence and List of Witnesses Before Hearing
No later than ten days before the hearing, or at such earlier date as may be specified by the Hearing Officer, each Party shall submit to all other Parties and to the Hearing Officer copies of documentary evidence and the names of the witnesses each Party intends to present at the hearing.
(b) Party's Right to Be Heard
If a hearing is held, a Party shall be entitled to be heard in person, by counsel, or by the Party's representative.
(c) Request to Submit Additional Evidence
Notwithstanding paragraph (a), a Party, for good cause shown, may seek to submit any additional evidence at the hearing as the Hearing Officer, in his or her discretion, determines may be relevant and necessary for a complete record.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.