NASD Notice to Members 99-68 - August 1999

NASD Regulation Announces its Policy on Enforcement Of Disciplinary Sanctions During the Pendency of Circuit Court Appeals

Executive Summary

NASD Regulation, Inc. (NASD Regulation®) announces its policy to refrain from enforcing disciplinary sanctions, other than bars and expulsions, during the pendency of appeals of National Association of Securities Dealers, Inc. (NASD®) disciplinary cases from the Securities and Exchange Commission (SEC) to Circuit Courts of Appeal.

 

Questions regarding this Notice to Members may be directed to Carla Carloni, Assistant General Counsel, Office of General Counsel, NASD Regulation, at (202) 728-8019.