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  • 9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions

    (a) Service on Each Party
    Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be served on each Party by the Party on whose behalf such paper was prepared or by his or her counsel or representative.
    (b) How Served
    The paper shall be served pursuant to Rule 9134.
    (c) Filing Requirement
    The paper that is served upon a Party, along with the certificate of service executed in connection with the service upon such Party, shall be filed with FINRA pursuant to Rule 9135.
    (d) Service upon Counsel or Other Person Acting in Representative Capacity
    Whenever service is required to be made upon a person represented by counsel or a representative who has filed a notice of appearance pursuant to Rule 9141, service shall be made upon counsel or the representative. The Adjudicator, at its discretion, may also order that service be made upon the person.
    Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
    Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
    Amended eff. Oct. 18, 1990.

    Selected Notice: 08-57.