Securities and Exchange Commission
Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission [Release No. 34-106257; File No. SR-NASDAQ-2026-072] September 1, 2026. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), [ 1 ] and Rule 19b-4 thereunder, [ 2 ] notice is hereby given that on August 31, 2026, The Nasdaq Stock Market LLC (“Nasdaq” or “Exchange”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Rule 9558 of Nasdaq's disciplinary code, which governs summary proceedings authorized by Section 6(d)(3) of the Act. Specifically, Nasdaq proposes making a technical correction to Rule 9558 to permit Nasdaq Regulation Department staff to issue a written notice initiating summary proceedings. Currently, Rule 9558 permits only Financial Industry Regulatory Authority (“FINRA”) staff to issue a written notice initiating summary proceedings. The issuance, whether by Nasdaq Regulation Department staff or FINRA staff, on a case-by-case basis of a written notice initiating summary proceedings would continue to require written authorization from Nasdaq's Chief Regulatory Offic…
Citation: 91 FR 56934
