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A party who applies to a securities regulatory authority for review of a final decision of a hearing panel may obtain a copy of the record of the proceeding in which the decision was made by sending a request for the record, in prescribed form, to the National Hearing Officer.
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The National Hearing Officer must provide a copy of the record of the proceeding to the party within a reasonable time after receipt of a request under subsection 8431(1), subject to payment of any applicable costs or fees.
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Subject to subsection 8431(4), the record of a proceeding must include copies of:
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the commencing notice in the proceeding,
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any interim orders made in the proceeding,
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any preconference memorandums,
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documentary and other evidence adduced in the proceeding, subject to any limitations imposed under IIROC requirements by a hearing panel or by law,
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any other documents in the proceeding requested by a party,
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a transcript of oral evidence given at the hearing on the merits, and
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the decision and reasons of the hearing panel.
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The National Hearing Officer may omit any documents from the record of a proceeding, if:
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the parties consent and the hearing panel agrees, or
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the hearing panel so directs.
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The National Hearing Officer may require the party who requests the record of a proceeding to pay the costs of preparing a copy of the record and a reasonable fee for its preparation.
8432. – 8999. Reserved.
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