Notice Rule

Notice of Filing of Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Plan and Update the Fine Schedule Applicable to Certain Minor Rule Violations

National Securities Exchanges, BOX Exchange LLC (BOX)

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Title
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) To Expand the List of Violations Eligible for Disposition Under the Exchange's Minor Rule Violation Pl
Release Number
34-95037
SEC Issue Date
Federal Register Publish Date
Document Citation

87 FR 35273

Resources

Notice Rule: SEC Issued Version (pdf 119.4 KB)
Notice Rule: Federal Register Version

Title
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), To Expand the List of Violations Eligible for Dispo
Release Number
34-95217
SEC Issue Date
Federal Register Publish Date
Document Citation

87 FR 41798

Resources

Notice Rule: SEC Issued Version (pdf 339.94 KB)
Notice Rule: Federal Register Version

Last Reviewed or Updated: April 15, 2022