Reference: Ref-20327
| Reference Name: | Disciplinary Penalty Matrix Final eff. 12/2026 |
| Agency: | 69 Department of Financial Services 69W Securities |
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| Description: | Disciplinary Penalty Matrix Final eff. 12/2026 | |||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
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The purpose and effect is to add a table listing minor violations for which a notice of non-compliance shall be issued for a first or second violation if such violation does not result in economic harm to a person or adversely .... | 31492328 |
10/13/2026 Vol. 52/199 |
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