FINRA Discipline: FINRA Rule 9220

FINRA Discipline: FINRA Rule 9220 Posted on Thursday, December 15, 2016 at 10:04 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the sixth of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9220 states that at any time before the issuance of a decision by a hearing panel, the hearing officer can extend or sh ...Read the full article