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Frequently Asked Questions
  What happens if, after an investigation, the PHLX Regulation Department has reason to believe that I violated the Floor Procedure Advices other than regulations concerning violation of order, decorum, health, safety and welfare on the Exchange, and I do not dispute the violation?
Identification Number 1585

The PHLX Regulation Department 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 your right to a hearing before a Hearing Panel or, if applicable, an Extended Hearing Panel, and any right of appeal to the Exchange Review Council, the Commission, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. See PHLX 9216(b).

Publication Date*: 8/22/2019 Mailto Link Identification Number: 1585
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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