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LEGAL TERMS DIRECTORY
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z Minor Rule Violation Plan Letter 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. Welcome to our Legal Directory
Legal & Compliance, LLC is a national corporate and securities law firm that focuses on the specific needs of OTCBB and Bulletin Board Companies. Focus areas include but are not limited to:
Legal & Compliance, LLC 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: 800-341-2684 Local: 561-514-0936 Fax: 561-514-0832 E-mail: LauraAnthonyPA@aol.com www.PublicCompanyCompliance.com |