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Frequently Asked Questions
  What happens if I refuse to comply with the Exchange's request for information/documents or to interview me?
Identification Number 1572

You may be subject to suspension.  If you are subject to the Exchange's jurisdiction and fail to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the Exchange's By-Laws or the Rules of the Exchange, or fail to keep your membership application or supporting documents current, the Exchange may provide written notice to you specifying the nature of the failure and stating that the failure to take corrective action within 21 days after service of the notice will result in suspension of membership or of association with any member or member organization. See Rule 9552(a) (contained within Nasdaq General 5).

Publication Date*: 4/29/2021 Mailto Link Identification Number: 1572
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