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9131. Service of Complaint and Document Initiating a Proceeding

Past version: effective from Dec 15 2008 - Mar 29 2012.
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(a) Service on Each Party
A complaint shall be served on each Party by the Department of Enforcement or the Department of Market Regulation. A document initiating a proceeding shall be served on each Party by the Party or person initiating such proceeding or his or her counsel or representative.
(b) How Served
A complaint or document initiating a proceeding shall be served pursuant to Rule 9134.
(c) Filing Requirement
A complaint that is served upon a Respondent and each document initiating a proceeding that is served upon a Party, along with the certificate of service executed in connection with the service upon such Respondent or Party, shall be filed with FINRA pursuant to Rule 9135.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-99-76 eff. Sept. 11, 2000.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended eff. Oct. 18, 1990.

Selected Notices: 00-56, 08-57.

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