Subjgrp 114. Suspension and Expulsion of Exchange Members
- § 240.19a3-1 - [Reserved]
- § 240.19b-3 - [Reserved]
- § 240.19b-4 - Filings with respect to proposed rule changes by self-regulatory organizations.
- § 240.19b-5 - Temporary exemption from the filing requirements of Section 19(b) of the Act.
- § 240.19b-7 - Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
- § 240.19c-1 - Governing certain off-board agency transactions by members of national securities exchanges.
- § 240.19c-3 - Governing off-board trading by members of national securities exchanges.
- § 240.19c-4 - Governing certain listing or authorization determinations by national securities exchanges and associations.
- § 240.19c-5 - Governing the multiple listing of options on national securities exchanges.
- § 240.19d-1 - Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
- § 240.19d-2 - Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
- § 240.19d-3 - Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.
- § 240.19d-4 - Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
- § 240.19g2-1 - Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
- § 240.19h-1 - Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.