Federal Register #SR-NASDAQ-2026-072

Proposed Amendment to Nasdaq Disciplinary Code Rule 9558

This notice concerns a proposed regulatory change by The Nasdaq Stock Market LLC, published by the Securities and Exchange Commission (SEC). - Purpose: Amend Rule 9558 of Nasdaq's Disciplinary Code - Key change: Allow Nasdaq Regulation Department staff, in addition to FINRA staff, to issue written notices initiating summary proceedings - Requires authorization from Nasdaq's Chief Regulatory Officer - Goal: Expedite summary proceedings and align Nasdaq's rules with those of other self-regulatory organizations (e.g., NYSE) - No products, services, OEMs, or vendors are being procured or requested - This is strictly a regulatory rule change proposal, not a procurement opportunity

Description

This notice announces a proposed rule change by The Nasdaq Stock Market LLC to amend Rule 9558 of Nasdaq's Disciplinary Code. The amendment permits Nasdaq Regulation Department staff, in addition to FINRA staff, to issue written notices initiating summary proceedings, subject to authorization by Nasdaq's Chief Regulatory Officer. The change aims to expedite summary proceedings and aligns Nasdaq's rules with those of other self-regulatory organizations like the NYSE. The rule change has been made effective immediately and comments are invited from interested persons.

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