17 CFR Topic
Rules Relating to Temporary Orders and Suspensions
April 15, 2021
§
201.500
Expedited consideration of proceedings
§
201.510
Temporary cease-and-desist orders: Application process
§
201.511
Temporary cease-and-desist orders: Notice; procedures for hearing
§
201.512
Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing
§
201.513
Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing
§
201.514
Temporary cease-and-desist orders: Judicial review; duration
§
201.520
Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application
§
201.521
Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application
§
201.522
Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order
§
201.523
[Reserved]
§
201.524
Suspension of registrations: Duration
§
201.530
Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision
§
201.531
Initial decision on permanent order: Effect on temporary order
§
201.540
Appeal and Commission review of initial decision making a temporary order permanent
§
201.550
Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A)
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