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Frequently Asked Questions
  What happens if the minor rule violation plan letter is rejected?
Identification Number 1590

If the letter is rejected, the Exchange may take any other appropriate disciplinary action with respect to the alleged violation or violations.  That may include a decision to pursue formal disciplinary action.  Note that you will not be prejudiced by the execution of the minor rule violation plan letter, and the letter may not be introduced into evidence in connection with the determination of the issues set forth in any complaint or in any other proceeding.  See Rule 9216(b) (contained within Nasdaq General 5).

Publication Date*: 4/29/2021 Mailto Link Identification Number: 1590
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