1. LawStack
  2. Title 12 - Banks and Banking
  3. Chapter III - FEDERAL DEPOSIT INSURANCE CORPORATION
  4. Subchapter A - PROCEDURE AND RULES OF PRACTICE
  5. Part 308 - RULES OF PRACTICE AND PROCEDURE
  6. 12 CFR Subpart I
12 CFR Subpart I
Rules and Procedures for Imposition of Sanctions Upon Municipal Securities Dealers or Persons Associated With Them and Clearing Agencies or Transfer Agents
November 10, 2020
§
308.134
Scope
§
308.135
Grounds for imposition of sanctions
§
308.136
Notice to and consultation with the Securities and Exchange Commission
§
308.137
Effective date of order imposing sanctions
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Subpart H Rules and Procedures Applicable to Proceedings Relating to Assessment and Collection of Civil Money Penalties for Violation of Cease-and-Desist Orders and of Certain Federal Statutes, Including Call Report Penalties
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Subpart J Rules and Procedures Relating to Exemption Proceedings Under Section 12(h) of the Securities Exchange Act of 1934

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