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  • 9145. Rules of Evidence; Official Notice

    (a) Rules of Evidence
    The formal rules of evidence shall not apply in a proceeding brought under the Rule 9000 Series.
    (b) Official Notice
    In a proceeding governed by the Rule 9000 Series, an Adjudicator may take official notice of such matters as might be judicially noticed by a court, or of other matters within the specialized knowledge of FINRA as an expert body. Before an Adjudicator proposes to take official notice of a matter, it shall permit a Party the opportunity to oppose or otherwise comment upon the proposal to take official notice.
    Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
    Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

    Selected Notice: 08-57.