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Frequently Asked Questions
  Are Hearing Panel's decisions made public?
Identification Number 446
No. Nasdaq does not make a Panel's decision letter publicly available. However, Nasdaq cannot guarantee confidentiality since documents and information provided to Nasdaq may be subject to subpoenas from private parties or requests for access from federal or state government agencies and self-regulatory bodies. Under some circumstances, Nasdaq may also transfer company materials or information to FINRA and the SEC. A company should consider whether the terms of the Panel's decision require disclosure under the federal securities laws.
Publication Date*: 7/31/2012 Mailto Link Identification Number: 446
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