Rules & Regulations

(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 ...

On its own motion or upon motion of any person asserting a direct and substantial interest in the outcome of a proceeding conducted under this ...

Within twenty days after receipt of the answering brief, the Division of Market Oversight and/or the Division of Swap Dealer and Intermediary Oversight and Division ...