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9360. Effectiveness of Sanctions
Unless otherwise provided in the decision issued under Rule 9349 or Rule 9351, a sanction (other than a bar, an expulsion, or a permanent cease and desist order) specified in a decision constituting final disciplinary action of FINRA for purposes of SEA Rule 19d-1(c)(1) shall become effective on a date to be determined by FINRA staff. A bar, an expulsion, or a permanent cease and desist order shall become effective upon service of the decision constituting final disciplinary action of FINRA, unless otherwise specified therein. FINRA shall serve the decision on a Respondent by courier, facsimile or other means reasonably likely to obtain prompt service when the sanction is a bar, an expulsion, or a permanent cease and desist order.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-98-80 eff. June 23, 2003.
Amended by SR-NASD-99-76 eff. Sept. 11, 2000.
Amended by SR-NASD-98-58 eff. Mar. 26, 1999.
Amended by SR-NASD-98-57 eff. Mar. 26, 1999.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.
Selected Notices: 99-16; 00-56, 03-35, 08-57.