12-602 – Procedure on Hearings and Reviews Before the Commission (Local Policy)

12-602 – Procedure on Hearings and Reviews Before the Commission (Local Policy)

• Local Policy Statement 12-602 Procedure on Hearings and Reviews Before the Commission

  Approved by the Commission on March 8, 2012.
  Amended by the Authority on January 9, 2014.
  Amended by the Authority on July 13, 2017.
  Amended by the Authority on June 13, 2019.
  Amended by the Board on May 20, 2021.
  Amended by the Board on November 18, 2021.
  Amended by the Board on November 17, 2022.
  Amended by the Board on May 19, 2023.
  Amended by the Board on May 16, 2024.

  This local policy governs hearings and reviews under The Securities Act, 1988.

  12_602_lp_may_16_2024.pdf

• FCAA Virtual Hearing Participant Quick Reference Guide

  Please see the FCAA Virtual Hearing Participant Quick Reference Guide. 

  fcaa_virtual_hearing_participant_quick_reference_guide_aug_8_2020.pdf

• Guidelines for Hearings during a Pandemic

  The following "Guidelines for Hearings during a Pandemic" supplement and amend the Local Policy during this pandemic period and until further notice by the FCAA.

  guidelines_for_hearings_during_a_pandemic_aug_8_2020.pdf