Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Order Regarding Waiver Rule

Banc of America Securities, LLC, and Banc of America Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)

Last Reviewed or Updated: June 9, 2009

Resources

Order Regarding Waiver Rule: SEC Issued Version (pdf 43.38 KB)

Details

Rule Type

Order Regarding Waiver

Release Number

33-9044

SEC Issue Date

June 9, 2009

Rules & Regulations

Enforcement & Litigation

Compliance

Banc of America Securities, LLC, and Banc of America Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)

Resources

Details

More in this Section

Banc of America Securities, LLC, and Banc of America Investment Services, Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)

Resources

Details