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Regulatory Release

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 8313 Relating to the Exchange's Ability To Publicly Release Disciplinary Complaints, Decisions and Other Information Modeled on the Text of FINRA Rule 8313; Amending Rules and Adopting a New Rule 9291 Relating to the Imposition of Temporary or Permanent Cease and Desist Orders To Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310

Details

Rule Type

Release Number

34-78959

SEC Issue Date

Sept. 28, 2016 | 3:10 pm ET

Federal Register Publish Date

Oct. 4, 2016 | 12:11 am ET

Document Citation

81 FR 68481

Resources

Federal Register Version

SRO Organization

NYSE MKT (NYSEMKT)

Last Reviewed or Updated: July 19, 2023