Pre-Hearing Conferences

Section 130 Section 130.1118  Pre-Hearing Conferences Upon written request to the Hearing Officer by the Securities Department or any respondent, the parties may be directed by the Hearing Officer to appear at a specified date, time and place for a pre-hearing conference, that may be held telephonically, prior to the date set for hearing in the particular proceeding or, without notice on the date and at the place set for such hearing and prior to the commencement thereof or during the course of such hearing, for the purpose of formulating issues and considering: a)         The simplification of issues; b)         The necessity or desirability of amending the pleadings for the purpose of clarification, amplification or limitation with respect to matters alleged in any Notice of Hearing; c)         The possibility of making admissions or stipulations of fact to the end of avoiding the unnecessary introduction of evidence; d)         The limitation of the number of witnesses; e)         The propriety of prior mutual exchange between or among parties of prepared testimony or exhibits; and f)         Any other matters that may aid in the disposition of the hearing.