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Regulatory Release

Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)

Details

Rule Type

Order

Release Number

34-56504

SEC Issue Date

Sept. 24, 2007 | 3:17 pm ET

Federal Register Publish Date

Oct. 1, 2007 | 12:24 am ET

Document Citation

72 FR 55850

Resources

Rel. No. 34-56504

Federal Register Version

SRO Organization

National Association of Securities Dealers (NASD)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)

Details

Resources

More in this Section

Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)

Details

Resources