Whole Section

  • 5.10 Disciplinary Proceedings

    • 5.10.1

      A failure to comply with Chapter 5, or any applicable Rules or Directives, is a breach and may be subject to disciplinary action.

    • 5.10.2

      A Designated Market-Maker and a registered market-making representative are bound by the Supervisory Rules in Chapter 14 of these Rules and must comply with any disciplinary decision as if it were a Trading Member and he or she were a Trading Representative respectively.

      Amended on 23 January 200923 January 2009.