OMB control number
Rule 19d-1, SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security
OMB 3235-0206 · SEC.
Rule 19d-1, 17 CFR 240.19d-1, under the Securities Exchange Act of 1934 prescribes the form and content of notices to be filed with the Commission by respondent self-regulatory organizations ("SROs") for which the Commission is the appropriate regulatory agency concerning the following final SRO actions: (1) disciplinary sanctions (including summary suspensions); (2) denials of membership, participation, or association with a member; and (3) prohibitions or limitations on access to SRO services and (4) delisting a security. The Commission uses the information reported in the notices to oversee the disciplinary activities of SROs.
The latest form for Rule 19d-1, SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security expires 2028-11-30 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
20250806_3235-0206_2025-14931_90 FR 37929_30-Day Submission Notice.pdf.pdf
Rule 19d-1-Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Denials, Bars, or Limitations Respecting Membership Association, Participation, or Access to Services, and