(a) Contents of the Record, Retention
The record shall consist of:
(1) the complaint, answers, each notice of hearing, pre-hearing order, and any amendments thereto;
(2) each application, motion, submission, and other paper, and any amendments, motions, objections, and exceptions to or regarding them;
(3) each transcript of a pre-hearing conference and of a hearing, and each stipulation, transcript of testimony, Document, and other item admitted into evidence;
(4) each written communication accepted at the discretion of the Hearing Officer;
(5) with respect to a motion to disqualify a Hearing Officer under
Rule 9233 or a Panelist under
Rule 9234, each affidavit or transcript of testimony taken and the ruling made in connection with the request;
(6) all proposed findings and conclusions;
(7) each written ruling, order, and decision issued by the Chief Hearing Officer, Hearing Officer, Hearing Panel or, if applicable, Extended Hearing Panel; and,
(8) any other Document or item accepted into the record by the Hearing Officer, the Hearing Panel or, if applicable, the Extended Hearing Panel.
(b) Supplemental Documents Attached To Record; Retention
(1) A supplemental Document attached to the record is any Document submitted to the Hearing Officer that did not become part of the record, including:
(A) a Document not admitted by the Hearing Officer, Hearing Panel or, if applicable, the Extended Hearing Panel;
(B) any matter stricken from any filing or stricken during an oral presentation, including any matter stricken from any filing or stricken during any oral presentation because the Adjudicator determined it was scandalous or impertinent as provided in
Rule 9136(e); and
(C) a list of Documents, if any, that a Respondent unsuccessfully sought by motion to inspect and copy under
Rule 9251(c).
(2) A supplemental Document attached to the record shall not constitute part of the record, but shall be retained until the date upon which FINRA's decision becomes final disciplinary action or, if applicable, upon the conclusion of any review by the SEC or the federal courts.
(c) Substitution of Copies
Parties may submit to the Hearing Officer for substitution a true copy of a Document in the record.
