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9360. Effectiveness of Sanctions

This rule is no longer applicable. NASD Rule 9360 has been superseded by FINRA Rule 9360. Please consult the appropriate FINRA Rule.

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 the Association for purposes of SEC Rule 19d-1(c)(1) shall become effective on a date to be determined by Association 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 the Association, unless otherwise specified therein. The Association 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-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.

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