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Dec 15 2008 - Mar 29 2012Mar 30 2012 onwards

9136. Filing of Papers: Form

Past version: effective from Dec 15 2008 - Mar 29 2012.
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(a) Specifications
Papers filed in connection with any proceeding under the Rule 9200 Series and the Rule 9300 Series shall:
(1) be on unglazed white paper measuring 8 ½ x 11 inches, but to the extent that the reduction of a larger document would render it illegible, such document may be filed on larger paper;
(2) be typewritten or printed in either 10 or 12 point typeface or otherwise reproduced by a process that produces a permanent and plainly legible copy;
(3) include at the head of the paper, or on a title page, the title of the proceeding, the names of the Parties, the subject of the particular paper or pleading, and the number assigned to the proceeding;
(4) be paginated at the bottom of the page and with all margins at least one inch wide;
(5) be double-spaced, with double-spaced footnotes and single-spaced indented quotations; and
(6) be stapled, clipped, or otherwise fastened in the upper left corner, but not bound.
(b) Signature Required
All papers shall be signed and dated pursuant to Rule 9137.
(c) Number of Copies
A signed original and three copies of all papers shall be filed with the Adjudicator.
(d) Form of Briefs
A brief containing more than ten pages shall include a table of contents, and an alphabetized table of cases, statutes, and other authorities cited, with references to the pages of the brief wherein they are cited.
(e) Scandalous or Impertinent Matter
Any scandalous or impertinent matter contained in any brief, pleading, or other filing, or in connection with any oral presentation in a proceeding may be stricken on order of an Adjudicator. Any matter stricken by an Adjudicator by this Rule shall be marked "Stricken" and preserved. Matters stricken in a proceeding governed by the Rule 9200 Series shall be preserved under Rule 9267(b).
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

Selected Notice: 08-57.

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