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Dec 15 2008 - Mar 29 2012Mar 30 2012 onwards

9313. Counsel to National Adjudicatory Council

(a) Authority
A Counsel to the National Adjudicatory Council shall have authority to take ministerial and administrative actions to further the efficient administration of a proceeding, including the authority to:
(1) direct the Office of Hearing Officers to complete and transmit a record of a disciplinary proceeding to the National Adjudicatory Council in accordance with Rule 9267;
(2) establish or amend a briefing schedule under Rule 9347(b) but not shorten a briefing schedule except with the consent of the Parties;
(3) permit a brief or any other document required to be filed to vary from the requirements of the Rule 9130 Series as provided in Rule 9347(a);
(4) establish the date, time, and location of an oral argument and provide for notice of the hearing under Rule 9341;
(5) for other than a Party and counsel or a person acting in a representative capacity, determine who may attend a hearing;
(6) rule on a motion by a Party to request to lengthen or shorten a period of time prescribed by the Code for the filing of any papers, or request that a hearing be postponed or adjourned under Rule 9322, except that a period may not be shortened and a hearing may not be postponed or adjourned without the consent of the Parties;
(7) create and maintain the official record of the disciplinary proceeding on appeal or review; and
(8) establish the number of copies of all papers that shall be filed with the Adjudicator under Rule 9136.
(b) Review
A Party seeking the review of a decision of a Counsel to the National Adjudicatory Council may make a motion to the National Adjudicatory Council, the Review Subcommittee, a Subcommittee or, if applicable, an Extended Proceeding Committee.
Amended by SR-FINRA-2012-019 eff. Mar. 30, 2012.
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-97-81 eff. Jan. 16, 1998.
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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