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10.1 Whereany Exchange member violates these Rules, the Exchange will require rectification and may, depending on seriousness of the circumstances, impose one or several of the following penalties:
(1) public notice of criticism;
(2) public censure;
(3) securities trading suspended or restricted;
(4) trading qualification revoked; and
(5) membership revoked.
10.2 Members not satisfied with the foregoing disciplinary sanctions in (2), (3), (4) and (5) may ask for a review within 15 days from the date of receiving the notice of disciplinary sanction. Enforcement of the relevant disciplinary penalties shall not be suspended during the review period. |
