Series 24: 2.5.3.4. Formal Hearings

Taken from our Series 24 Online Guide

2.5.3.4. Formal Hearings

If the respondent contests a violation, or if the regulators deny a settlement offer or waiver, the dispute will devolve to a formal hearing proceeding. The Chief Hearing Officer shall appoint a Hearing Panel to conduct the disciplinary proceeding and issue a decision.

Within 21 days after a respondent has answered a complaint, the Hearing Officer may order a prehearing conference with the disputing parties to discuss:

• Simplification and clarification of the issues

• Exchange of witness and exhibit lists

• Stipulations conc

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