Rules Relating to Temporary Orders and Suspensions | Midpage

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Code of Federal Regulations

ECFR7526f3f9d413d5e

Rules Relating to Temporary Orders and Suspensions

201.500Expedited consideration of proceedings.201.510Temporary cease-and-desist orders: Application process.201.511Temporary cease-and-desist orders: Notice; procedures for hearing.201.512Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.201.513Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.201.514Temporary cease-and-desist orders: Judicial review; duration.201.520Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.201.521Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.201.522Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.201.523[Reserved]201.524Suspension of registrations: Duration.201.530Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.201.531Initial decision on permanent order: Effect on temporary order.201.540Appeal and Commission review of initial decision making a temporary order permanent.201.550Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).