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Chapter 4 Enforcement of Rules
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400. GENERAL PROVISIONS

401. THE CHIEF REGULATORY OFFICER

402. BUSINESS CONDUCT COMMITTEE

402A. Jurisdiction and General Provisions

402B. Sanctions

402C. Emergency Actions

402D. Actions against Non-Members

403. CLEARING HOUSE RISK COMMITTEE

403A. Jurisdiction and General Provisions

403B. Offers of Settlement

403C. Emergency Actions

403D. Appeal of Administrative Fines

404. PIT COMMITTEE

405. FLOOR CONDUCT COMMITTEE

406. PROBABLE CAUSE COMMITTEE

407. INVESTIGATION, ASSIGNMENT FOR HEARING AND NOTICE OF CHARGES

407A. Investigation File

407B. Notice of Charges; Opportunity for Hearing

407C. Answer to Charges

408. CONDUCT OF HEARINGS

408A. General

408B. Pre-Hearing

408C. Offers of Settlement

408D. Hearings

408E. Decisions

409. SUMMARY PROCEEDINGS BEFORE THE FLOOR CONDUCT COMMITTEE

409A. Jurisdiction

409B. Selection of the Panel

409C. Conduct of Summary Proceedings

409D. Appeals

410. [RESERVED]

411. APPEAL TO A HEARING PANEL OF THE BOARD OF DIRECTORS

412. SUMMARY ACTIONS

413. SUMMARY ACCESS DENIAL ACTIONS

413A. Authority to Deny Access

413B. Notice

413C. Hearing

413D. Duration of Access Denial

414. INVESTIGATIONS BY OTHER SELF-REGULATORY ORGANIZATIONS

415. COOPERATION WITH OTHER EXCHANGES AND CLEARING ORGANIZATIONS

416. CONFLICTS OF INTEREST

416A. Abstention Requirements

416B. Disclosure of Relationship

417. PROHIBITED COMMUNICATIONS

417A. Ex Parte Communications

417B. Communications with Panelists

417C. Disclosure

418-431. [RESERVED]

432. GENERAL OFFENSES

433. STRICT LIABILITY FOR THE ACTS OF AGENTS

434. [RESERVED]

435. EFFECT OF SUSPENSION OR EXPULSION

436. [RESERVED]

437. NOTICE OF DISCIPLINE

438. [RESERVED]

439. MEMBER'S INDEMNIFICATION LIABILITY

440. CLAIMS BY MEMBERS

441. COMMUNICATIONS WITH THE PUBLIC AND PROMOTIONAL MATERIAL

442. NOTIFICATION OF SIGNIFICANT EVENTS

443. [RESERVED]

444. SANCTIONS AND RESTITUTION ORDERS