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  • 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS

    Amended by SR-FINRA-2016-043 eff. Dec. 15, 2016.
    Amended by SR-FINRA-2009-035 eff. July 14, 2009.
    Amended by SR-FINRA-2009-034 eff. June 23, 2009.
    Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
    Amended by SR-NASD-2007-033 eff. June 23, 2007.
    Amended by SR-NASD-2005-061 eff. May 11, 2005.
    Amended by SR-NASD-2003-110 eff. June 28, 2004.
    Adopted by SR-NASD-98-80 eff. June 23, 2003.

    Selected Notices: 03-35, 04-36, 08-57.