Code of Federal Regulations · Subpart

Subpart I — Rules And Procedures For Imposition Of Sanctions Upon Municipal Securities Dealers Or Persons Associated With Them And Clearing Agencies Or Transfer Agents

12 C.F.R. pt. 308, subpt. I

• § 308.134 Scope
• § 308.135 Grounds For Imposition Of Sanctions
• § 308.136 Notice To And Consultation With The Securities And Exchange Commission
• § 308.137 Effective Date Of Order Imposing Sanctions