PocketLaw | CFR 17 | Suspension and Expulsion of Exchange Members

Suspension and Expulsion of Exchange Members

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Section
240.19a3-1

§ 240.19a3-1 [Reserved]

Section
240.19b-3

§ 240.19b-3 [Reserved]

Section
240.19b-4

Filings with respect to proposed rule changes by self-regulatory organizations.

Section
240.19b-5

Temporary exemption from the filing requirements of Section 19(b) of the Act.

Section
240.19b-7

Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.

Section
240.19c-1

Governing certain off-board agency transactions by members of national securities exchanges.

Section
240.19c-3

Governing off-board trading by members of national securities exchanges.

Section
240.19c-4

Governing certain listing or authorization determinations by national securities exchanges and associations.

Section
240.19c-5

Governing the multiple listing of options on national securities exchanges.

Section
240.19d-1

Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.

Section
240.19d-2

Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.

Section
240.19d-3

Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.

Section
240.19d-4

Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.

Section
240.19g2-1

Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.

Section
240.19h-1

Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.