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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 eff. Oct. 18, 1990.
Selected Notices: 08-34, 08-57.