Series 28: Hearing Procedures For Expedited Proceedings

Taken from our Series 28 Online Guide

Hearing Procedures for Expedited Proceedings

Hearing procedures apply to any member or associated person who is served with a notice and who requests a hearing in a timely manner.

A Chief Hearing Officer will appoint a Hearing Panel composed of a Hearing Officer and two Panelists. A hearing will be held within five business days after a respondent requests one in writing.

Not less than two business days before the hearing, FINRA staff will provide the respondent with all documents that were considered in issuing the notice, and the parties will exchange proposed exhibit and witness lists. Formal rules of evidence do not apply h

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