(A pdf version of Ch. 4 is at the bottom of the page)
401. THE CHIEF REGULATORY OFFICER
402. BUSINESS CONDUCT COMMITTEE
402.A. Jurisdiction and General Provisions
402.B. Hearings
402.C. Emergency Actions
402.D. Actions against Non-Members
403. CLEARING HOUSE RISK COMMITTEE
403.A. Jurisdiction and General Provisions
403.B. Settlement Offers
403.C. Emergency Actions
403.D. Appeal of Administrative Fines
407. INITIAL INVESTIGATION, ASSIGNMENT FOR HEARING AND NOTICE OF CHARGES
407.A. Investigation File
407.B. Notice of Charges; Opportunity for Hearing
407.C. Answer to Charges
408. CONDUCT OF HEARINGS
408.A. General
408.B. Pre-Hearing
408.C. Settlement Offers
408.D. Hearings
408.E. Decisions
409. SUMMARY PROCEEDINGS BEFORE THE FLOOR CONDUCT COMMITTEE
409.A. Jurisdiction
409.B. Selection of Panel
409.C. Conduct of Summary Proceedings
409.D. Appeals
410. HEARINGS BEFORE A HEARING PANEL OF THE BOARD OF DIRECTORS
411. APPEAL TO A HEARING PANEL OF THE BOARD OF DIRECTORS
413. SUMMARY ACCESS DENIAL ACTIONS
413.A. Authority to Deny Access
413.B. Notice
413.C. Hearing
413.D. Duration of Access Denial
414. INVESTIGATIONS BY OTHER SELF-REGULATORY ORGANIZATIONS
415. COOPERATION WITH OTHER EXCHANGES AND CLEARING ORGANIZATIONS
416. CONFLICTS OF INTEREST
416.A. Abstention Requirements
416.B. Disclosure of Relationship
417. PROHIBITED COMMUNICATIONS
417.A. Ex Parte Communications
417.B. Communications with Panelists
417.C. Disclosure
418.-431. [RESERVED]
433.-434. [RESERVED]
435. EFFECT OF SUSPENSION OR EXPULSION
436. [RESERVED]
438. [RESERVED]
439. MEMBER’S INDEMNIFICATION LIABILITY
441. COMMUNICATIONS WITH THE PUBLIC AND PROMOTIONAL MATERIAL
442. NOTIFICATION OF SIGNIFICANT EVENTS
443. POSITION LIMIT VIOLATIONS
443.A. First Violation
443.B. Subsequent Violations Following a Warning Letter
443.C. Referral to the Probable Cause Committee
443.D. Alternate Risk Factor Evaluation
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