referencelibrarybanner
Listing Center Coronavirus FAQs for Nasdaq-listed Companies
Reference Library - Advanced Search
Find
 


Library 



 
Timeframe
Category
 
Sub-Category
** To make multiple selections, select the first criterion and then press and hold the Ctrl Key **
 
1- 1 of 1 Search Results for:
Libraries:   FAQs - Market Regulation
Filters:   All Years; Disciplinary Process;
 
Search   Clear


Expand All
Printer Friendly View
Mailto Link 
Page: 1 of 1
Frequently Asked Questions
  What happens if the minor rule violation plan letter is rejected?
Identification Number 1590

If the letter is rejected, the Exchange may take any other appropriate disciplinary action with respect to the alleged violation or violations.  That may include a decision to pursue formal disciplinary action.  Note that you will not be prejudiced by the execution of the minor rule violation plan letter, and the letter may not be introduced into evidence in connection with the determination of the issues set forth in any complaint or in any other proceeding.  See Rule 9216(b) (contained within Nasdaq General 5).

Publication Date*: 1/16/2020 Mailto Link Identification Number: 1590
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.
Page: 1 of 1
home_footer_links
Copyright_statement
App Store       Google Play       Listing Center Content RSS Feed
The Nasdaq Stock Market, Nasdaq, The Nasdaq Global Select Market, The Nasdaq Global Market, The Nasdaq Capital Market, ExACT and Exchange Analysis and Compliance Tracking system are trademarks of Nasdaq, Inc.
FINRA® and Financial Industry Regulatory Authority, Inc.® are registered trademarks of Financial Industry Regulatory Authority, Inc. OTCBBTM and OTC Bulletin BoardTM are trademarks of FINRA