The FINRA Code of Procedure has been amended for initiating and adjudicating various types of actions, including disciplinary, eligibility, expedited, and cease and desist proceedings.  Among the changes, which go into effect 3/30/12:

• allowing service of a complaint (and notices of certain expedited proceedings) on counsel when counsel agrees to accept such service
• permitting e-filing of papers with an adjudicator
• requiring an attorney seeking to withdraw from a disciplinary case to file a motion before withdrawal would be approved
• allowing hearing officers to manage the parties’ pre-hearing submissions to reduce and eliminate duplicative filings
• allowing counsel to the NAC to decide a procedural motion in an eligibility proceeding or an expedited proceeding

Once effective, the amended rules will apply immediately to all new and pending matters governed by FINRA’s Code of Procedure. FINRA General Counsel Staff Contacts. Direct questions to: Alan Lawhead, Director, Appellate Group - (202) 728-8853; Andrew Love, Associate General Counsel - (202) 728-8281; or Matthew Vitek, Assistant General Counsel - (202) 728-8156. Content in this Notice too detailed for summarizing. For further details, go to:  [FINRA Regulatory Notice 12-12, March 2012].