FINRA Discipline: FINRA Rule 9231

FINRA Discipline: FINRA Rule 9231 Posted on Saturday, December 24, 2016 at 10:00 AM This is the ninth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9231 authorizes a chief hearing officer to appoint a hearing panel to conduct the disciplinary proceeding and issue a decision.Read the full article