Daily eCFR

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

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

CFR
›
Title 12
›
Chapter III
›
Part 308
›
Subpart I

ContainsSections 308.134–308.137

CorpusDaily eCFR

Displayed edition2026-04-15

Last updated2026-04-15

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

Sections

308.134
§ 308.134 Scope.
308.135
§ 308.135 Grounds for imposition of sanctions.
308.136
§ 308.136 Notice to and consultation with the Securities and Exchange Commission.
308.137
§ 308.137 Effective date of order imposing sanctions.