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Frequently Asked Questions
  I received a letter from the Exchange requesting information and documents. Am I obligated to respond?
Identification Number 1570

Yes, if you are subject to the Exchange's jurisdiction.  For the purpose of an investigation, compliant, examination, or proceeding authorized by the Exchange’s By-Laws or Rules, the Exchange shall have the right to inspect and copy your books, records, and accounts with respect to any matter involved in the investigation, complaint, examination, or proceeding.  The Exchange also has the right to require you to provide information orally, in writing, or electronically (if the requested information is, or is required to be, maintained in electronic form) with respect to any matter involved in the investigation, complaint, examination, or proceeding. See Rule 8210(a) (contained within Nasdaq General 5). 

Publication Date*: 1/16/2020 Mailto Link Identification Number: 1570
material_search_footer*The Publication Date reflects the date of first inclusion in the Reference Library, which was launched on July 31, 2012, or a subsequent update to the material. Material may have been previously available on a different Nasdaq web site.
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