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Get Rule 11 Violations And Penalties

11B.02 Violations Vicarious Responsibility Part 11C Penalties for Violations 11C.01 December 2017 Penalties for Violation of Rules Rule 11 Violations and Penalties Page 1 of 6 Part 11A General Applicability 11A.01 Generality of Application This Rule shall apply to all Persons as defined in Rule 1.02. Amended by the Special Regulatory Committee November 7, 2017; effective Trade Date December 1, 2017. Part 11B General Violations and Vicarious Liability of Participants 11B.01 Viol.

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