From: Haynie |
No rules have been found that deal with directors of a self regulated securities agency (NASD) who commite criminal violations (such as excepting a bribe from the broker in violation of sec.law ) in reguards with the hiring and appointing of arbitrators, and procedures for a hearing. Can you help me find these rules.? Thank you for your cooperation. Wilyspad@comcast.net 4-25-2006 |