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Securities Exchanges: Statute - SEC Rules
Exchange
Act § 6
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Rule
6a-1 Registration
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6a-1
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14 FR 7759 12.29.49
63 FR 70844, 70918 12.22.98
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Rule
6a-2 Amendments to application
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6a-2
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48 FR 24666 6.02.83
59 FR 66700 12.28.94
63 FR 70844, 70918 12.22.98
66 FR 43721, 43741 8.20.01
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Rule
6a-3 Supplemental material to be filed
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6a-3
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14 FR 7759 12.29.49
19 FR 4723 7.31.54
63 FR 70844, 70919 12.22.98
66 FR 43721, 43741 8.20.01
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Rule
6a-4 Trading security futures products -
Notice of Registration under Section 6(g) of the Act, Amendment to Such
Notice, and Supplemental Materials to Be Filed by Exchanges Registered
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6a-4
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66 FR 43721, 43741 8.20.04
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Securities Associations: Statute
- SEC Rules
Self-Regulatory Organizations SROs
SRO Rule Changes: Statute - SEC Rules SEC_CODE_REF_0090001192884
Exchange
Act § 19(b)
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Rule
19b-4 SRO proposed rule changes
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19b-4
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45 FR 73914 11.07.80
59 FR 66701 12.28.94
63 FR 70952, 70967 12.22.98
66 FR 43721, 43743 8.20.01
69 FR 69287, 60300 10.08.04
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Rule
19b-5 Temporary exemption
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19b-5
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63 FR 70844, 70920 12.22.98
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Rule
19b-7 §19(b)(7) proposed rule changes
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19b-7
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66 FR 43721, 43743 8.20.01
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SRO Disciplinary Rules
Rule
19d-1 Notices of disciplinary actions
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19d-1
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42 FR 36415 7.14.77
49 FR 23831 6.08.84
70 FR 42456, 42469 7.22.05
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Rule
19d-2 Stays of disciplinary sanctions
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19d-2
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42 FR 36416 7.14.77
60 FR 32825 6.23.95
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Rule
19d-3 Applications for review
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19d-3
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42 FR 36417 7.14.77
60 FR 32825 6.23.95
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Rule
19d-4 PCAOB notice
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19d-4
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69 FR 13166 3.19.04
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Rule
19g2-1 SRO enforcement
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Rule 19h-1
Relief from statutory disqualification
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19h-1
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46 FR 58661 12.03.81
48 FR 53691 11.29.83
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Commentary
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Law
firm mailings
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Related Topics
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