Series 27: Formal Hearings

Taken from our Series 27 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 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 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 thei

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