Scheme: 
FRSXOFIA0001
Case Type Number: 
28
Statute (Common Name): 
Exchange Act
Program Area: 
Banking/Financial Services
Legal Authorities (Statute/Exec. Order): 
15 USC 70o-4
Regulatory Authorities (CFR): 
12 CFR 265.50(7)
Filed By: 
Federal Agency
Brief Description of Case Type: 
"(7) Imposition of sanctions upon any municipal securities dealer for which the Board is the appropriate regulatory agency, or upon any person associated or seeking to become associated with such a municipal securities dealer, under section 15B(c)(5) of the Exchange Act (15 U.S.C. 78o-4)" 12 CFR 265.50(7)
Relief Available in Actions Filed by Agency: 
Revocation/Suspension/Restriction of Existing Right or Privilege
Verified by Agency: 
Not verified