Notice 14 Feb 2025 compliance, nasdaq, securities regulation, disciplinary proceedings, finra

⚖️Nasdaq Expands Authority on Disciplinary Proceedings

The Securities and Exchange Commission has approved Nasdaq's proposal to assume greater operational responsibility for litigating contested disciplinary proceedings. This rule change allows Nasdaq to directly manage investigations and enforcement actions arising from its own initiatives, streamlining the regulatory process while maintaining procedural protections for its members.

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