1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
  6. Topic - Suspension and Expulsion of Exchange Members
  7. 17 CFR § 240.19d-3
17 CFR § 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
April 15, 2021
CFR

Applications to the Commission for review of any final disciplinary sanction, denial or conditioning of membership, participation, bar from association, or prohibition or limitation with respect to access to services offered by a self-regulatory organization or a member thereof by any such organization shall be made pursuant to Rule 420 of the Commission's Rules of Practice, §201.420 of this chapter.

[60 FR 32825, June 23, 1995]

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§ 240.19d-2 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization
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§ 240.19d-4 Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action

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