§ 208.33. Application for stay or review of disciplinary sanctions imposed by registered clearing agency.
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/us/cfr/t12/s§ 208.33·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)Stays. The rules adopted by the Securities and Exchange Commission
(SEC)pursuant to section 19 of the Securities Exchange Act of 1934 (15 U.S.C. 78s) regarding applications by persons for whom the SEC is the appropriate regulatory agency for stays of disciplinary sanctions or summary suspensions imposed by registered clearing agencies (17 CFR 240.19d-2) apply to applications by member banks. References to the “Commission” are deemed to refer to the Board.
(b)Reviews. The regulations adopted by the Securities and Exchange Commission pursuant to section 19 of the Securities and Exchange Act of 1934 (15 U.S.C. 78s) regarding applications by persons for whom the SEC is the appropriate regulatory agency for reviews of final disciplinary sanctions, denials of participation, or prohibitions or limitations of access to services imposed by registered clearing agencies (17 CFR 240.19d-3(a)-(f)) apply to applications by member banks. References to the “Commission” are deemed to refer to the Board. The Board's Uniform Rules of Practice and Procedure (12 CFR part 263) apply to review proceedings under this § 208.33 to the extent not inconsistent with this § 208.33.
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- 17 CFR 240.19
- 12 CFR 263
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§ 208.33
Application for stay or review of disciplinary sanctions imposed by registered clearing agency.
Cite17 CFR 240.19
Cite12 CFR 263
Cites 3Cited by 0 across 0 sources