SEC Approves FINRA Rule Change to Make Its Cease and Desist Authority Pilot Program Permanent | Practical Law
https://content.next.westlaw.com/practical-law/document/Ib9a9f3be1c9a11e38578f7ccc38dcbee/SEC-Approves-FINRA-Rule-Change-to-Make-Its-Cease-and-Desist-Authority-Pilot-Program-Permanent?viewType=FullText&transitionType=Default&contextData=(sc.Default)
An update on the SEC's approval of a proposed rule change by FINRA to adopt its pilot program authorizing it to issue and enforce cease and desist orders on a permanent basis.
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SEC Approves FINRA Rule Change to Make Its Cease and Desist Authority Pilot Program Permanent
Practical Law Legal Update 8-386-6245
(Approx. 2 pages)
SEC Approves FINRA Rule Change to Make Its Cease and Desist Authority Pilot Program Permanent
by PLC Corporate & Securities
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Published on 17 Jul 2009
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USA (National/Federal)
An update on the SEC's approval of a proposed rule change by FINRA to adopt its pilot program authorizing it to issue and enforce cease and desist orders on a permanent basis.