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Frequently Asked Questions
  What happens if the Exchange has reason to believe that I violated a rule subject to an SEC-approved minor rule violation plan?
Identification Number 1583

The Exchange may prepare and request that you execute a minor rule violation plan letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a Hearing Panel or, if applicable, an Extended Hearing Panel, and any right of appeal to the Review Council, the Commission, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted.  See Rule 9216(b) (contained within Nasdaq General 5).

Publication Date*: 1/14/2020 Mailto Link Identification Number: 1583
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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