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9740. Consideration of Applications

All applications shall be considered by a Hearing Officer (as defined in Rule 9120(r)) appointed by the Chief Hearing Officer (as defined in Rule 9120(b)). Unless otherwise specified in FINRA rules, the applicant shall be entitled to be heard in person or telephonically and by counsel and to submit any relevant matter. In any such proceeding a record shall be kept.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2007-052 eff. Aug. 1, 2008.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006
Amended by SR-NASD-97-97 eff. Jan. 15, 1998.

Selected Notices: 08-34, 08-57.

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