Subpart D—Actions Under the Federal Securities Laws

Sections

• 19.120
  § 19.120 Exemption hearings under section 12(h) of the Securities Exchange Act of 1934.
• 19.121
  § 19.121 Disciplinary proceedings.
• 19.122
  § 19.122 Civil money penalty authority under Federal securities laws.
• 19.123
  § 19.123 Cease-and-desist authority.