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1019. Application to the SEC for Review
A person aggrieved by final action of FINRA under the Rule 1000 Series may apply for review by the SEC pursuant to Section 19(d)(2) of the Exchange Act. The filing of an application for review shall not stay the effectiveness of a decision constituting final action of FINRA, unless the SEC otherwise orders.
|Amended by SR-FINRA-2019-009 eff. May 8, 2019.
Amended by SR-FINRA-2008-008 eff. June 26, 2008.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.
Selected Notices: 91-11, 92-2, 94-22.