Series 26: Formal Hearings

Taken from our Series 26 Online Guide

Formal Hearings

If the respondent contests a violation, or if the regulators deny a settlement offer or waiver, the dispute will move 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 concerning the contents or authenticity of documents and the

Since you're reading about Series 26: Formal Hearings, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 26
Please Enable Javascript
to view this content!