Rules & Regulations

(a) Practice—(1) By non-attorneys. An individual may appear pro se (on his own behalf); a general partner may represent the partnership; a bona fide officer ...

(a) Standards for waiver; notice to parties. To prevent undue hardship on any party or for other good cause shown the Commission may waive any ...

(a) When required. Whenever an exchange decision pursuant to which a disciplinary action or access denial action is to be imposed has become final, the ...

(a) Effective date. Any disciplinary or access denial action taken by an exchange will not become effective until at least fifteen days after the written ...

Whenever an exchange suspends, expels or otherwise disciplines, or denies any person access to the exchange, it must make public its findings by disclosing at ...

(a) Time to file. Except as provided in §9.1(b), any person who is the subject of disciplinary or access denial action by an exchange or ...

(a) Filing of record. Within thirty days after service of the notice of appeal, the exchange must file two copies of the record of the ...

(a) Time to file. Any person who has filed a notice of appeal in accordance with the provisions of §9.20 must perfect the appeal by ...

(a) Time for filing answering brief. Within thirty days after service of the appeal brief, the exchange must file with the Commission an answering brief. ...

(a) Time to file. (1) Within ten days after the notice of the disciplinary or access denial action has been delivered in accordance with §9.11 ...