9740. Consideration of Applications
This rule is no longer applicable. NASD Rule 9740 has been superseded by FINRA Rule 9740. Please consult the appropriate FINRA Rule.
All applications shall be considered by a Hearing Officer (as defined in Rule 9120(p)) appointed by the Chief Hearing Officer (as defined in Rule 9120(b)). Unless otherwise specified in NASD rules, the applicant shall be entitled to be heard in person or telephonically and by counsel and to submit any relevant matter. In any such proceeding a record shall be kept.
Amended by SR-NASD-2007-052 eff. Aug. 1, 2008.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Amended by SR-NASD-97-97 eff. Jan. 15, 1998.
Selected Notice to Members: 08-34.