View Whole SectionText only Print Print Manager Link
Previous Next

9145. Rules of Evidence; Official Notice

(a) Rules of Evidence
The formal rules of evidence shall not apply in a proceeding brought under the Rule 9000 Series.
(b) Official Notice
In a proceeding governed by the Rule 9000 Series, an Adjudicator may take official notice of such matters as might be judicially noticed by a court, or of other matters within the specialized knowledge of FINRA as an expert body. Before an Adjudicator proposes to take official notice of a matter, it shall permit a Party the opportunity to oppose or otherwise comment upon the proposal to take official notice.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

Selected Notice: 08-57.

Previous Next