Title 12

PART 308 SUBPART I

Subpart I - Rules and Procedures for Imposition of Sanctions Upon Municipal Securities Dealers or Persons Associated With Them and Clearing Agencies or Transfer Agents

• 5 U.S.C. 504, 554-557; 12 U.S.C. 93(b), 164, 505, 1464, 1467(d), 1467a, 1468, 1815(e), 1817, 1818, 1819, 1820, 1828, 1829, 1829(b), 1831i, 1831m(g)(4), 1831o, 1831p-1, 1832(c), 1884(b), 1972, 3102, 3108(a), 3349, 3909, 4717, 5412(b)(2)(C), 5414(b)(3); 15 U.S.C. 78(h) and (i), 78o(c)(4), 78o-4(c), 78o-5, 78q-1, 78s, 78u, 78u-2, 78u-3, 78w, 6801(b), 6805(b)(1); 28 U.S.C. 2461 note; 31 U.S.C. 330, 5321; 42 U.S.C. 4012a; Pub. L. 104-134, sec. 31001(s), 110 Stat. 1321; Pub. L. 109-351, 120 Stat. 1966; Pub. L. 111-203, 124 Stat. 1376; Pub. L. 114-74, sec. 701, 129 Stat. 584.
• 56 FR 37975, Aug. 9, 1991, unless otherwise noted.

12:5.0.1.1.6.9.1.1	SECTION 308.134	308.134 Scope.
12:5.0.1.1.6.9.1.2	SECTION 308.135	308.135 Grounds for imposition of sanctions.
12:5.0.1.1.6.9.1.3	SECTION 308.136	308.136 Notice to and consultation with the Securities and Exchange Commission.
12:5.0.1.1.6.9.1.4	SECTION 308.137	308.137 Effective date of order imposing sanctions.

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