Series 14: 1.7.1.4. Formal Hearings

Taken from our Series 14 Online Guide

1.7.1.4. 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 will 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

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