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The following information is about Minor Rule Violation Plan Letter.

Minor Rule Violation Plan Letter Defined

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.

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