12-602 – Proceedings Before Hearing Panels Under The Securities Act, 1988 (Local Policy)

12-602 – Proceedings Before Hearing Panels Under The Securities Act, 1988 (Local Policy)

Securities Hearings Policy

This policy outlines the procedures that parties—including those who are represented by counsel and those who are unrepresented—and other members of the public are expected to follow with respect to proceedings before hearing panels of the FCAA under The Securities Act, 1988.

Securities Hearing Policy 

Virtual Hearing Quick Reference Guide

This guide provides instructions for participants of virtual hearings hosted by the FCAA.

Virtual Hearing Quick Reference Guide 

Forms

These forms under the Securities Hearings Policy are editable.

Form 1-11-A – Affidavit of Service

Form 1-11-B – Affidavit of Sending

Form 1-11-C – Affidavit (General)

Form 1-16 – Change in Representation

Form 1-19 – Notice of Withdrawal (Intervenor Status)

Form 2-6 – Notice of Constitutional Question

Form 2-8 – Notice of Withdrawal (Application)

Form 3-4 – Statement of Allegations

Form 3-8 – Notice of Response to Statement of Allegations

Form 4-5 – Witness List

Form 4-6 – Notice of Intent to Call Expert Witness

Form 4-9 – Subpoena

Form 5-2 – Pre-Hearing Conference Request

Form 5-6 – Pre-Hearing Conference Submission

Form 6-7 – Memorandum of Argument

Form 6-10 – Draft Order

Form 6-12 – Request for Financial Compensation Order

Form 7-2 – Joint Application for Approval of Settlement Agreement

Form 8-2 – Notice of Application for Order

Form 9-3 – Notice of Application for Review

Form 9-7 – Notice of Intent to Introduce New Evidence

Form 10-2 – Notice of Application for Further Decision

Form 10-3 – Notice of Response to Application for Further Decision

Form 11-3-A – Notice of Objection to Revocation or Variation of Decision

Form 11-3-B – Notice of Response to Objection to Revocation or Variation of Decision

Form 11-4 – Notice of Application for Revocation or Variation of Decision

Form 11-5 – Notice of Response to Application for Revocation or Variation of Decision

Form 12-2 – Motion Without Notice

Form 12-3 – Notice of Motion

Form 12-7 – Notice of Motion for Leave to Cross-Examine Affiant

Form 12-11 – Notice of Withdrawal (Motion)

Form 15-4-A – Notice of Objection to Written Hearing

Form 15-4-B – Notice of Response to Objection to Written Hearing

Form 17-6 – Request to Make Visual or Audio Recording