Rules Regarding Disgorgement and Penalty Payments

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Rules of Practice
  6. Rules of Practice
  7. Rules Regarding Disgorgement and Penalty Payments

Checkout our iOS App for a better way to browser and research.

Section
201.600

Interest on sums disgorged.

Section
201.601

Prompt payment of disgorgement, interest and penalties.

Sections
201.610-201.614

§§ 201.610-201.614 [Reserved]

Section
201.620

§ 201.620 [Reserved]

Section
201.630

Inability to pay disgorgement, interest or penalties.

Section
201.700

Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments.

Section
201.701

Issuance of order.