FINRA Manual: Contents
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9000. CODE OF PROCEDURE
9100. APPLICATION AND PURPOSE
9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW
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9150. Exclusion From Rule 9000 Series Proceeding
An Adjudicator may exclude an attorney for a Party or other person authorized to represent others by Rule 9141 from acting as counsel, acting in any representative capacity, or otherwise appearing in a particular Rule 9000 Series proceeding for contemptuous conduct under Rule 9280 or unethical or improper professional conduct in that proceeding. If an attorney for a Party, or other person authorized to represent others by Rule 9141, is excluded from a disciplinary hearing or conference, or any portion thereof, such attorney or person may seek review by the National Adjudicatory Council of such exclusion under Rule 9280(c).
(b) Other Proceedings Not Precluded
Prohibiting an attorney or other person authorized to represent others by Rule 9141 from practicing or appearing in a FINRA proceeding shall not preclude FINRA from initiating other proceedings against such person.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-81 eff. Jan. 16, 1998.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.
Selected Notice: 08-57.