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 sanctions can the Exchange impose if it believes that I have violated the federal securities laws, rules or regulations thereunder, or the Exchange Rules?
Identification Number 1604

The Exchange can impose the following sanctions:

  1. censure a member or person associated with a member;
  2. impose a fine upon a member or person associated with a member;
  3. suspend the membership of a member, suspend the permit of a member (under the PHLX Rules), or suspend the registration of a person associated with a member for a definite period or a period contingent on the performance of a particular act;
  4. expel a member, cancel the membership of a member, revoke or cancel the permit of a member (under the Phlx Rules), or revoke or cancel the registration of a person associated with a member;
  5. suspend or bar a member or person associated with a member from association with all members;
  6. impose a temporary or permanent cease and desist order against a member or a person associated with a member; or
  7. impose any other fitting sanction

See Rule 8310(a) (contained within Nasdaq General 5)

Publication Date*: 1/16/2020 Mailto Link Identification Number: 1604
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