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Frequently Asked Questions
  What happens if, after an investigation, the Exchange has reason to believe that I violated the Exchange Act, the rules and regulations thereunder, the By-Laws and Rules of the Exchange or any interpretation thereof, or the Rules, Regulations, resolutions and stated policies of the Board of Directors or any Committee of the Exchange, and I do not dispute the violation?
Identification Number 1574

If the Exchange has reason to believe a violation has occurred and you do not dispute the violation, the Exchange will prepare and ask that you execute an acceptance, waiver, and consent letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive your right to a hearing and any right of appeal, or to otherwise challenge the validity of the letter, if the letter is accepted. See Rule 9216(a) (contained within Nasdaq General 5).

Publication Date*: 4/29/2021 Mailto Link Identification Number: 1574
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