IM-9216. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
This rule is no longer applicable. NASD IM-9216 has been superseded by FINRA Rule 9217. Please consult the appropriate FINRA Rule.
9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEC Rule 19d-1(c)(2)
This rule is no longer applicable. NASD Rule 9216 has been superseded by FINRA Rule 9216. Please consult the appropriate FINRA Rule.
9215. Answer to Complaint
This rule is no longer applicable. NASD Rule 9215 has been superseded by FINRA Rule 9215. Please consult the appropriate FINRA Rule.
9214. Consolidation or Severance of Disciplinary Proceedings
This rule is no longer applicable. NASD Rule 9214 has been superseded by FINRA Rule 9214. Please consult the appropriate FINRA Rule.
9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel
This rule is no longer applicable. NASD Rule 9213 has been superseded by FINRA Rule 9213. Please consult the appropriate FINRA Rule.
9212. Complaint Issuance — Requirements, Service, Amendment, Withdrawal, and Docketing
This rule is no longer applicable. NASD Rule 9212 has been superseded by FINRA Rule 9212. Please consult the appropriate FINRA Rule.
9211. Authorization of Complaint
This rule is no longer applicable. NASD Rule 9211 has been superseded by FINRA Rule 9211. Please consult the appropriate FINRA Rule.