Topical Terminology > Minor Rule Violation Plan Letter
Minor Rule Violation Plan Letter
For Minor Rule Violation Plan Letter we have a term and definition in Securities.
Minor Rule Violation Plan Letter (Securities) 
Procedure of the NASD for certain minor violations of rules by members and their associates when the facts are not in dispute. Mechanics are identical to the Acceptance, Waiver, and Consent Procedure, except that sanctions are limited to a fine of $2,500 and/or a censuring letter. The violations that qualify are all related to the keeping, approving, and reporting of data.
See more Securities Terms ...
Similar
Browse words that start with:
Browse All Terms by First Letter
Term Search
Looking for more topical resources?
> Feeds
> General Reference
> News Video
> Recipes
> Podcasts
> Tags
We currently have 172,616 terms and definitions across 1,105 topics.
This work is licensed under Creative Commons.
Design by NOWdesign
