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Frequently Asked Questions
  If I sign an acceptance, waiver, and consent letter, will the Exchange make it public?
Identification Number 1581

Maybe, depending on the circumstances. The Exchange must release to the public information with respect to any acceptance, waiver, and consent letter, imposing a suspension, cancellation or expulsion of a member organization or member; suspension or revocation of a member's permit (on PHLX); or suspension or revocation of the registration of a member or person associated with a member organization; or suspension or barring of a member organization, member or person associated with a member organization from association with all member organizations; or imposition of monetary sanctions of $10,000 or more upon a member organization, member or person associated with a member organization; or containing an allegation of a violation of a Designated Rule; and may also release such information with respect to any disciplinary decision or group of decisions that involve a significant policy or enforcement determination where the release of information is deemed by the Chief Regulatory Officer to be in the public interest. See IM-8310-3(c)(1) (contained within Nasdaq General 5).

Publication Date*: 1/14/2020 Mailto Link Identification Number: 1581
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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