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9131. Service of Complaint

(a) Service on Each Party
Except as provided below, a complaint shall be served on each Party by the Department of Enforcement. When counsel for a Party or other person authorized to represent others under Rule 9141 agrees to accept service of the complaint, then the Department of Enforcement may serve the complaint on counsel for a Party or other person authorized to represent others under Rule 9141 as specified in Rule 9134(a).
(b) How Served
A complaint or document initiating a proceeding shall be served pursuant to Rule 9134.
(c) Filing Requirement
A complaint that is served upon a Respondent and each document initiating a proceeding that is served upon a Party, along with the certificate of service executed in connection with the service upon such Respondent or Party, shall be filed with FINRA pursuant to Rule 9135.
Amended by SR-FINRA-2018-027 eff. Aug. 3, 2018.
Amended by SR-FINRA-2011-044 eff. Mar. 30, 2012.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-99-76 eff. Sept. 11, 2000.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended eff. Oct. 18, 1990.

Selected Notices: 00-56, 08-57, 12-12.

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