Notice
28 May 2025
sec, regulatory compliance, financial services, self-regulatory organizations, disciplinary actions
📄SEC Rule 19d-3
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.
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