Board Diversity
Reference Library - Advanced Search


** To make multiple selections, select the first criterion and then press and hold the Ctrl Key **
1- 1 of 1 Search Results for:
Libraries:   FAQs - Market Regulation
Filters:   All Years; Disciplinary Process;
Search   Clear

Expand All Printer Friendly View Mailto Link 
Page: 1 of 1
Frequently Asked Questions
  Will I have an opportunity to submit an answer to the complaint once it is issued?
Identification Number 1592

Yes.  You must file an answer to the complaint on all other Parties within 25 days after service of the complaint, and at the time of service shall file such answer with the Office of Hearing Officers pursuant to Rules 9135, 9136 and 9137.  See Rule 9215 (contained within Nasdaq General 5). 

Publication Date*: 4/29/2021 Mailto Link Identification Number: 1592
Page: 1 of 1
App Store       Google Play       Listing Center Content RSS Feed
The Nasdaq Stock Market, Nasdaq, The Nasdaq Global Select Market, The Nasdaq Global Market, The Nasdaq Capital Market, ExACT and Exchange Analysis and Compliance Tracking system are trademarks of Nasdaq, Inc.
FINRA® and Financial Industry Regulatory Authority, Inc.® are registered trademarks of Financial Industry Regulatory Authority, Inc.