FINRA Manual: Contents
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9000. CODE OF PROCEDURE
9200. DISCIPLINARY PROCEEDINGS
9260. Hearing and Decision
9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW
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9263. Evidence: Admissibility
(a) Criteria for Receiving and Excluding Evidence
The Hearing Officer shall receive relevant evidence, and may exclude all evidence that is irrelevant, immaterial, unduly repetitious, or unduly prejudicial.
Objections to the admission or exclusion of evidence shall be made on the record and shall succinctly state the grounds relied upon. Excluded material shall be deemed a supplemental document, which shall be attached to the record and retained under Rule 9267.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.
Selected Notice: 08-57.