9407. Choice of written submissions or appearance 

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    1. Unless otherwise decided by a decision maker, an opportunity to be heard will be conducted as an exchange of written submissions. However, an applicant, Approved Person, Dealer Member or Registration Staff may request that the opportunity to be heard be conducted as an appearance: 

      1. in the presence of a decision maker

      2. by telephone conference, or 

      3. by other interactive electronic means acceptable to both parties

    2. A request that an opportunity to be heard be conducted as an appearance must be made to the decision maker in writing, with a brief statement of the reasons for making the request, and the other party will be given an opportunity to object to the request before the decision maker decides whether to grant a request for an appearance. 

    3. A decision maker may also decide on its own initiative that the opportunity to be heard will be conducted as an appearance, in which case the decision maker must promptly inform the parties of its decision.

    There is no history log for this rule.

    There is no history log for this rule.