| FINRA.org

9143. Ex Parte Communications

(a) Prohibited Communications
Unless on notice and opportunity for all Parties to participate, or to the extent required for the disposition of ex parte matters as authorized by the Rule 9000 Series:
(1) No Party, or counsel to or representative of a Party, or Interested FINRA Staff shall make or knowingly cause to be made an ex parte communication relevant to the merits of a proceeding to an Adjudicator who

9137. Filing of Papers: Signature Requirement and Effect

(a) General Requirements
Following the issuance of a complaint in a disciplinary proceeding, or the initiation of another proceeding, every filing of a Party represented by counsel or a representative shall be signed by at least one counsel or representative of record in his or her name and shall state the business address and telephone number of such counsel or representative.

9135. Filing of Papers with Adjudicator: Procedure

(a) When to File
(1) In proceedings before the Office of Hearing Officers pursuant to the Rule 9000 Series, complaints and other papers that are required to be filed with the Office of Hearing Officers shall be filed through the OHO Portal and deemed filed as of the date of submission to the OHO Portal, unless otherwise ordered by the Hearing Officer, Hearing Panel or Extended Hearing Panel.
(2) For all other documents required to be filed pursuant to the Rule 9000 Series, pap

9134. Methods of, Procedures for Service

(a) Methods
The following methods of service are permitted except as provided in paragraph (c) in proceedings before the Office of Hearing Officers:
(1) Personal Service
Personal service may be accomplished by handing a copy of the papers to the person required to be served; leaving a copy at the person's office with an employee or other person in charge thereof; or leaving a copy at the person's dwelling or usual place of ab
Subscribe to