CmaBylaw
Executive Bylaws
1-6-10 Of Module Four: Securities Exchanges and Clearing Agencies
Section: Chapter One: Exchanges
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Thursday, 02 February 2017
The committee is empowered to consider all Violations alleged to have been committed by any of the Exchange Members. The committee may impose the following penalties: 1 - Caution the Violator to discontinue committing the Violation. 2 - Issue a warning. 3 - Subject the Violator to further supervision. 4 - Suspend the Violator from working or practicing the profession for a period not exceeding one year. 5 - Impose restrictions on the Violator’s activity or activities. 6 - Suspend the trading of a Security for a specific period in the interest of the market. In all cases, the committee may cancel transactions related to the Violation and the consequences there
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