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Frequently Asked Questions
  Am I able to appeal the Exchange's decision to suspend me for failure to comply with an information/document request or interview?
Identification Number 1573

Yes.  If you have been served with a notice under Rule 9552, you may file with the Office of Hearing Officers a written request for a hearing pursuant to Rule 9559.  A request for a hearing shall be made before the effective date of the notice. A request for a hearing must set forth with specificity any and all defenses to the Exchange action. See Rule 9552(e) (contained within Nasdaq General 5).

Publication Date*: 4/29/2021 Mailto Link Identification Number: 1573
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