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  • 9130. Service; Filing of Papers

    • 9131. Service of Complaint

      (a) Service on Each Party
      Except as provided below, a complaint shall be served on each Party by the Department of Enforcement. When counsel for a Party or other person authorized to represent others under Rule 9141 agrees to accept service of the complaint, then the Department of Enforcement may serve the complaint on counsel for a Party or other person authorized to represent others under Rule 9141 as specified in Rule 9134(a).
      (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-2018-027 eff. Aug. 3, 2018.
      Amended by SR-FINRA-2011-044 eff. Mar. 30, 2012.
      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, 12-12.

    • 9132. Service of Orders, Notices, and Decisions by Adjudicator

      (a) Service on Each Party
      An order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the Rule 9200 Series shall be served on each Party, or each Party's counsel, or other person the Party designates to represent him or her in a proceeding by the Office of Hearing Officers. An order, notice, or decision issued by any other Adjudicator shall be served by that Adjudicator.
      (b) How Served
      An order, notice, or decision shall be served pursuant to Rule 9134.
      (c) 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.

    • 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.

    • 9134. Methods of, Procedures for Service

      (a) Methods
      The following methods of service are permitted:
      (1) Personal Service
      Personal service may be accomplished by handing a copy of the papers to the person required to be served; leaving a copy at the person's office with an employee or other person in charge thereof; or leaving a copy at the person's dwelling or usual place of abode with a person of suitable age and discretion then residing therein;
      (2) Service by Mail by U.S. Postal Service
      Service by mail may be accomplished by mailing the papers through the U.S. Postal Service by using first class mail, first class certified mail, first class registered mail, or Express Mail, except that a complaint shall be served upon a Respondent by U.S. Postal Service first class certified mail or Express Mail; or
      (3) Service by Courier
      Service by courier may be accomplished by sending the papers through a courier service that generates a written confirmation of receipt or of attempts at delivery.
      (b) Procedures
      (1) Service on Natural Persons
      Papers served on a natural person may be served at the natural person's residential address, as reflected in the Central Registration Depository, if applicable. When a Party or other person responsible for serving such person has actual knowledge that the natural person's Central Registration Depository address is out of date, duplicate copies shall be served on the natural person at the natural person's last known residential address and the business address in the Central Registration Depository of the entity with which the natural person is employed or affiliated. Papers may also be served at the business address of the entity with which the natural person is employed or affiliated, as reflected in the Central Registration Depository, or at a business address, such as a branch office, at which the natural person is employed, or at which the natural person is physically present during a normal business day. The Hearing Officer may waive the requirement of serving documents (other than complaints) at the addresses listed in the Central Registration Depository if there is evidence that these addresses are no longer valid, and there is a more current address available. If a natural person is represented by counsel or a representative, papers served on the natural person, excluding a complaint or a document initiating a proceeding, shall be served on the counsel or representative.
      (2) Service on Entities
      Papers served on an entity shall be made by service on an officer, partner of a partnership, managing or general agent, a contact employee as set forth on Form BD, or any other agent authorized by appointment or by law to accept service. Such papers shall be served at the entity's business address as reflected in the Central Registration Depository, if applicable; provided, however, that when the Party or other person responsible for serving such entity has actual knowledge that an entity's Central Registration Depository address is out of date, duplicate copies shall be served at the entity's last known address. If an entity is represented by counsel or a representative, papers served on such entity, excluding a complaint or document initiating a proceeding, shall be served on such counsel or representative.
      (3) When Service Is Complete
      Personal service and service by courier or express delivery are complete upon delivery. Service by mail is complete upon mailing.
      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.

      Selected Notices: 85-27, 89-55, 90-44, 90-81, 00-56, 08-57.

    • 9135. Filing of Papers with Adjudicator: Procedure

      (a) When to File
      Papers that are required to be filed with an Adjudicator within a time limit specified by the Adjudicator or within a time limit set forth in the Rules shall be deemed timely if received within the time limit, unless otherwise ordered by an Adjudicator, except complaints, which shall be deemed timely filed upon mailing, delivery by electronic mail, or delivery to the Office of Hearing Officers. Other papers that are required to be filed shall be deemed timely if, on the same day such papers are served, they are also hand-delivered, mailed via U.S. Postal service first class mail, delivered by electronic mail, or sent by courier to FINRA.
      (b) Where to File
      All papers required to be filed pursuant to the Rule 9200 Series and any notice of appeal or review required to be filed pursuant to the Rule 9300 Series shall be filed with the Office of Hearing Officers. All other papers required to be filed pursuant to the Rule 9000 Series shall be filed where specified in the Rule, or if not specified in the Rule, with the Adjudicator, unless the Adjudicator orders otherwise.
      (c) Certificate of Service
      Papers filed with an Adjudicator or the Office of Hearing Officers shall be accompanied by a certificate of service stating the name of the person or persons served, the date on which service is made, the method of service and, if service is not made in person, the address to which service is made. Such certificate shall be executed by the person who made the service. If the method of service on a Party is different from the method of service on any other Party, the certificate shall state why such different method was used.
      Amended by SR-FINRA-2011-044 eff. Mar. 30, 2012.
      Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
      Amended by SR-NASD-99-76 eff. Sept. 11, 2000.
      Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

      Selected Notices: 00-56, 08-57, 12-12.

    • 9136. Filing of Papers: Form

      (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 single-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 one copy of all papers shall be filed with the Adjudicator unless otherwise ordered.
      (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-2011-044 eff. Mar. 30, 2012.
      Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
      Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

      Selected Notices: 08-57, 12-12.

    • 9137. Filing of Papers: Signature Requirement and Effect

      (a) General Requirements
      Following the issuance of a complaint in a disciplinary proceeding, or the initiation of another proceeding, every filing of a Party represented by counsel or a representative shall be signed by at least one counsel or representative of record in his or her name and shall state the business address and telephone number of such counsel or representative. A Party who appears on his or her own behalf shall sign his or her individual name and state his or her address and telephone number on every filing.
      (b) Effect of Signature
      (1) The signature of a counsel, representative, or Party shall constitute a certification that:
      (A) the person signing the filing has read the filing;
      (B) to the best of his or her knowledge, information, and belief, formed after reasonable inquiry, the filing is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law; and
      (C) the filing is not made for any improper purpose, such as to harass, cause unnecessary delay, or needlessly to increase the cost of adjudication.
      (2) If a filing is not signed, an Adjudicator may strike the filing, unless it is signed promptly after the omission is called to the attention of the person making the filing.
      Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
      Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

      Selected Notice: 08-57.

    • 9138. Computation of Time

      (a) Calendar Day
      In the Rule 9000 Series, "day" means calendar day.
      (b) Formula
      In computing any period of time, the day of the act, event, or default from which the period of time designated in the Code begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, Sunday, or Federal holiday, in which event the period runs until the end of the next day that is not a Saturday, Sunday, or Federal holiday. Intermediate Saturdays, Sundays, and Federal holidays shall be excluded from the computation when the period prescribed is ten days or less, not including any additional time for service by mail allowed by paragraph (c).
      (c) Additional Time For Service by Mail
      If service is made by U.S. Postal Service first class, certified, or registered mail, three days shall be added to the prescribed period for response.
      Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
      Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

      Selected Notice: 08-57.