9770. Application to SEC for Review
Any decision issued under Rule 9750 or Rule 9760, as applicable, shall constitute final FINRA action. A person aggrieved by any final FINRA action issued pursuant to Rule 9750 or Rule 9760 may make application for review to the SEC in accordance with the Exchange Act.
| Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Renumbered from Rule 9790 and amended by SR-NASD-2007-052 eff. Aug. 1, 2008. Amended by SR-NASD-2005-087 eff. Aug. 1, 2006 Amended by SR-NASD-98-88 eff. May 4, 1999. Amended by SR-NASD-97-97 eff. Jan. 15, 1998. Amended by SR-NASD-90-35 eff. Oct. 18, 1990. Amended by SR-NASD-82-11 eff. April 15, 1985. Selected Notices: 85-27, 08-34, 08-57. |