Commodity and Securities Exchanges. Part9:Rules relating to review of exchange disciplinary,access denial or other adverse actions. Section9.31:ommission review of disciplinary or access denial action on its own motion.
(a) Request for additional information. Where a person disciplined or denied access has not appealed the exchange decision to the Commission, upon review of the notice specified in § 9.11, the Division of Market Oversight or the Division of Swap Dealer an