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Frequently Asked Questions
  What if I do not agree to execute an acceptance, waiver, and consent letter or a minor rule violation letter?
Identification Number 1591

The Exchange or FINRA may decide to pursue a formal disciplinary action against you by filing a complaint.  If the Exchange or FINRA believes that you are violating or have violated the federal securities laws, rules or regulations thereunder, or Exchange Rules, the Exchange or FINRA may request authorization from the FINRA Office of Disciplinary Affairs to issue a complaint. See Rule 9211(a) (contained within Nasdaq General 5). 

Publication Date*: 4/29/2021 Mailto Link Identification Number: 1591
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