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Actions Under the Federal Securities Laws | Midpage
Collections
Code of Federal Regulations
Title 12
Chapter I
Part 19
Subpart D
Actions Under the Federal Securities Laws
19.120
Exemption hearings under section 12(h) of the Securities Exchange Act of 1934.
19.121
Disciplinary proceedings.
19.122
Civil money penalty authority under Federal securities laws.
19.123
Cease-and-desist authority.