For updates and guidance related to COVID-19 / Coronavirus, click here.
1019. Application to Commission for Review
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
A person aggrieved by final action of FINRA under the Rule 1010 Series may apply for review by the Commission pursuant to Section 19(d)(2) of the Act. The filing of an application for review shall not stay the effectiveness of a decision constituting final action of FINRA, unless the Commission otherwise orders.
|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.