Rules Relating to Temporary Orders and Suspensions

  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 Relating to Temporary Orders and Suspensions

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Section
201.500

Expedited consideration of proceedings.

Section
201.510

Temporary cease-and-desist orders: Application process.

Section
201.511

Temporary cease-and-desist orders: Notice; procedures for hearing.

Section
201.512

Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.

Section
201.513

Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.

Section
201.514

Temporary cease-and-desist orders: Judicial review; duration.

Section
201.520

Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.

Section
201.521

Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.

Section
201.522

Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.

Section
201.523

§ 201.523 [Reserved]

Section
201.524

Suspension of registrations: Duration.

Section
201.530

Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.

Section
201.531

Initial decision on permanent order: Effect on temporary order.

Section
201.540

Appeal and Commission review of initial decision making a temporary order permanent.

Section
201.550

Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).