28 May 2025
📄SEC Rule 19d-3
Proposed Collection; Comment Request; Extension: Rule 19d-3
Summary
The SEC is soliciting comments on Rule 19d-3, which governs applications for review of final disciplinary actions by self-regulatory organizations. This includes sanctions, membership denials, and access prohibitions. The notice outlines the expected burden on respondents regarding compliance and seeks public feedback to optimize the information collection process.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The content involves compliance requirements as it discusses Rule 19d-3, which regulates the process for applications regarding disciplinary actions taken by self-regulatory organizations. Understanding these regulations is crucial for affected businesses to avoid costly legal consequences.