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Frequently Asked Questions
  Can the Review Council appeal a Hearing Panel's decision?
Identification Number 1597

Yes.  A decision issued by the Hearing Panel may be subject to a call for review by any member of the Review Council or, pursuant to authority delegated from the Review Council, by any member of the Review Subcommittee. A decision issued pursuant to Rule 9268 (contained within Nasdaq General 5) shall be subject to a call for review within 45 days after the date of service of the decision. If called for review, such decision shall be reviewed by the Review Council.

A default decision issued pursuant to
Rule 9269 (contained within Nasdaq General 5) shall be subject to a call for review by the Chief Regulatory Officer, on his or her own motion within 25 days after the date of service of the decision. If called for review, such decision shall be reviewed by the Exchange Review Council.

Note, however, that a decision with respect to a member or member organization that is an affiliate of the Exchange (within the meaning of Nasdaq and BX Rules General 2, Section 14 or
PHLX Rule 985) may not be called for review by the Review Council.  See Rule 9312 (contained within Nasdaq General 5).  

Publication Date*: 1/16/2020 Mailto Link Identification Number: 1597
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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