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Appeal. An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under . The notice of appeal shall be filed with the Office of General Counsel of FINRA, with a copy of the notice also provided to the appropriate department or staff of FINRA.
review of disciplinary proceeding by national adjudicatory council and finra board; application for sec review 9310. Appeal to or Review by National Adjudicatory Council
The Appellate Case Processing Guide is being updated and will be posted when the updates are completed. Current Rules of Appellate Procedure (RAP) including all Forms. Sample Forms (in Word Format)
FINRA’s Code of Procedure, which the Securities and Exchange Commission approved, contains the rules that govern the disciplinary hearing process. The Code ensures that hearings are conducted in a manner that is fair to all parties, that hearing panels act in an impartial and
Welcome to FindLaw's searchable database of Court of Appeals of Washington Division 1 DIVISION ONE decisions since January 2024. Cases are browsable by date and searchable by docket number, case title, and full text.
Court of Appeals of Washington Division 1 DIVISION ONE cases. FindLaw's database of Court of Appeals of Washington Division 1 DIVISION ONE features decisions since January 2024. You can browse decisions by date and search by docket number, case title, and full text.
Court of Appeals : Division I - General Information. Lea Ennis, Court Administrator/Clerk. Court Location: One Union Square. 600 University St. Seattle, WA 98101-1176. Directions: Directions to Division I. Days and Hours of Operation:
