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This document outlines the administrative proceedings and orders issued by the SEC related to optionsXpress, including allegations of violations regarding securities regulations and the procedural
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How to fill out ORDER FOLLOWING PREHEARING CONFERENCE

01
Begin by entering the name of the court at the top of the document.
02
Fill in the case number assigned to your case.
03
Include the names of all parties involved in the case.
04
Specify the date of the prehearing conference.
05
Outline the issues that were discussed during the prehearing conference.
06
Indicate any agreements or decisions made during the conference.
07
List any deadlines for submissions or upcoming hearings.
08
Ensure that all parties agree to the content of the order.
09
Sign and date the document at the bottom.
10
File the completed order with the court clerk.

Who needs ORDER FOLLOWING PREHEARING CONFERENCE?

01
Parties involved in legal proceedings that have undergone a prehearing conference.
02
Attorneys representing clients in cases requiring a formal order post-conference.
03
Judges who require a document summarizing the outcomes of the prehearing discussions.
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The purpose of a preliminary hearing is for a judge to decide if there is enough evidence for the case to move forward. It is not to decide if someone is guilty. At a preliminary hearing, the prosecution presents the main evidence that supports the charges they filed.
A prehearing conference is conducted by videoconference using Zoom software, or by telephone. The Administrative Law Judge, often referred to as ALJ, and the parties discuss and clarify the due process hearing issues, witnesses, and other prehearing matters. The prehearing conference will be initiated by the ALJ.
(b) The Immigration Judge may order any party to file a pre-hearing statement of position that may include, but is not limited to: A statement of facts to which both parties have stipulated, together with a statement that the parties have communicated in good faith to stipulate to the fullest extent possible; a list of
(c) Contents of Prehearing Statements the issues involved in the proceedings; facts stipulated to, along with a statement that the parties have communicated or conferred in a good faith effort to stipulate to the fullest extent possible; facts in dispute; witnesses; exhibits by which disputed facts will be litigated;
At any time before a hearing, a party may file with the Appeals Board a statement of position or trial brief with respect to any issue to be decided. NOTE: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. Go Back to Article 3 Table of Contents.
In addition to establishing the facts of the case, the pre-trial statement is an opportunity to identify the critical legal issues and arguments in your case. You should highlight the issues that will be addressed at trial and the arguments that you will use to support your case.

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ORDER FOLLOWING PREHEARING CONFERENCE is a formal document issued after a prehearing conference, summarizing the outcomes and agreements reached during the conference.
Typically, the parties involved in the hearing, or their legal representatives, are required to file the ORDER FOLLOWING PREHEARING CONFERENCE.
To fill out the ORDER FOLLOWING PREHEARING CONFERENCE, parties should include details such as the date of the conference, the names of the participants, the issues discussed, agreements reached, and any deadlines set during the conference.
The purpose of the ORDER FOLLOWING PREHEARING CONFERENCE is to document the proceedings of the prehearing conference and to establish a clear understanding of the next steps in the legal process.
Information that must be reported includes the names of the parties, relevant case numbers, details of the discussions, decisions made, timelines for further proceedings, and any other pertinent orders from the conference.
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SEC administrative proceedings securities optionsXpress Regulation SHO violations legal order hearing schedule financial regulation cease-and-desist

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