17 C.F.R. § 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
Applications to the Commission for review of any final disciplinary sanction, denial or conditioning of membership, participation, bar from association, or prohibition or limitation with respect to access to services offered by a self-regulatory organization or a member thereof by any such organization shall be made pursuant to Rule 420 of the Commission's Rules of Practice, § 201.420 of this chapter.
Notes of Decisions
Cited in 1
case, 1983–1983 · leading case: Fed. Sec. L. Rep. P 99,686 Kenneth A. Carter v. Sec. & Exch. Comm'n, Mario T. Ribeiro v. Sec. & Exch. Comm'n, 726 F.2d 472 (9th Cir. 1983).
Fed. Sec. L. Rep. P 99,686 Kenneth A. Carter v. Sec. & Exch. Comm'n, Mario T. Ribeiro v. Sec. & Exch. Comm'n, 726 F.2d 472 (9th Cir. 1983). “Congress has, however, committed to the discretion of the Commission the decision as to whether to allow oral argument in disciplinary hearings.”
— 17 C.F.R. § 240.19d-3(f) — 1 case
Fed. Sec. L. Rep. P 99,686 Kenneth A. Carter v. Sec. & Exch. Comm'n, Mario T. Ribeiro v. Sec. & Exch. Comm'n, 726 F.2d 472 (9th Cir. 1983). “Congress has, however, committed to the discretion of the Commission the decision as to whether to allow oral argument in disciplinary hearings.”
Annotations are extracted automatically from the opinions in the
Syfert caselaw corpus and ranked by authority, recency, and
treatment. Dots show Syfertize treatment of the citing case itself.