Request a Hearing Date
Parties to Enforcement proceedings may request a hearing date by filing the Hearing Date Request Form (pdf) with the National Hearing Officer (NHO) at [email protected].
The same form is used to request a hearing date for an initial appearance, prehearing conference, motion, application, settlement hearing, liability hearing, sanction hearing or review hearing.
A prehearing conference can be used as an opportunity to discuss settlement or to set or amend a timetable for the steps to take place before the hearing.
Request the Hearing Record
Parties to Enforcement proceedings under review by a securities regulatory authority and members of the public may request a copy of the Hearing Record under Rule 8431 by submitting the Hearing Record Request Form (pdf) with the NHO at [email protected].
The Hearing Record may be provided only after the completion of a hearing in which a final decision was issued by a Hearing Panel.
The Hearing Record may be redacted in accordance with the Policy regarding the use, disclosure, and redaction of personal information (pdf).
Request to Attend a Hearing
At the present, members of the public and media are able to observe public proceedings remotely (via Webex). For more information consult the In-Person and Hybrid Hearings Protocol (pdf).
To observe a hearing that is open to the public, please send a request to attend to the NHO at [email protected].
Summons a witness
At any stage of a proceeding, a party may request a Hearing Panel to exercise its authority under Rule 8208 to require a person to attend and give evidence or produce documents at a hearing.
If the request is granted by a Hearing Panel, a Summons to a Witness (pdf) may be issued.