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Frequently Asked Questions
  What happens if the minor rule violation plan letter is accepted?
Identification Number 1589

If the letter is accepted, it shall be deemed final and the Exchange shall report the violation to the Commission as required by the Commission pursuant to a plan approved under SEC Rule 19d-1(c)(2).  See Rule 9216(b) (contained within Nasdaq General 5). 

Publication Date*: 4/29/2021 Mailto Link Identification Number: 1589
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