8431. Record for review 

Or jump to a Series:

    1. 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 Coordinator

    2. The National Hearing Coordinator 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. 

    3. Subject to subsection 8431(4), the record of a proceeding must include copies of: 

      1. the commencing notice in the proceeding, 

      2. any interim orders made in the proceeding, 

      3. any preconference memorandums, 

      4. documentary and other evidence adduced in the proceeding, subject to any limitations imposed under IIROC requirements by a hearing panel or by law, 

      5. any other documents in the proceeding requested by a party

      6. a transcript of oral evidence given at the hearing on the merits, and 

      7. the decision and reasons of the hearing panel

    4. The National Hearing Coordinator may omit any documents from the record of a proceeding, if: 

      1. the parties consent and the hearing panel agrees, or 

      2. the hearing panel so directs. 

    5. The National Hearing Coordinator 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.

    There is no history log for this rule.

    There is no history log for this rule.