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1997 Dispute Resolution Rule Filings | Rule filings are not effective until approved by the Securities and Exchange Commission (SEC), with the exception of certain limited types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 (Exchange Act). In addition, some rule filings may be followed by amendments that modify the original filing. If a rule has been approved, the approval order will be found at the end of the link to the rule filing and amendments.
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