9144. Separation of Functions
(a) Interested FINRA Staff
Except as counsel or a witness in a proceeding or as provided in the Rule 9550 Series, Interested FINRA Staff is prohibited from advising an Adjudicator regarding a decision or otherwise participating in a decision of an Adjudicator.
9143. Ex Parte Communications
(a) Prohibited Communications
Unless on notice and opportunity for all Parties to participate, or to the extent required for the disposition of ex parte matters as authorized by the Rule 9000 Series:
(1) No Party, or counsel to or representative of a Party, or Interested FINRA Staff shall make or knowingly cause to be made an ex parte communication relevant to the merits of a proceeding to an Adjudicator who
9142. Withdrawal by Attorney or Representative
An attorney for a Party or other person authorized to represent others by Rule 9141seeking to withdraw his or her appearance shall file a motion to withdraw.
9141. Appearance and Practice; Notice of Appearance
(a) Representing Oneself
In any proceeding, a person may appear on his or her own behalf.
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.
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.
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
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.