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市场监管 · 2025/2/141 分钟阅读
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Assume Operational Responsibility for Litigating Contested Disciplinary Proceedings Arising Out of Nasdaq-Led Investigations and Enforcement Activities and Amend Rules 9131 and 9810 (the Nasdaq Discipline Rules) To Grant Nasdaq Regulation the Same Authority as FINRA in Contested Disciplinary Proceedings To Serve Complaints and Memoranda of Authority
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摘要
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Assume Operational Responsibility for Litigating Contested Disciplinary Proceedings Arising Out of Nasdaq-Led Investigations and Enforcement Activities and Amend Rules 9131 and 9810 (the Nasdaq Discipline Rules) To Grant Nasdaq Regulation the Same Authority as FINRA in Contested Disciplinary Proceedings To Serve Complaints and Memoranda of Authority
来源原始语言: Federal Register — SEC打开原始公告 →