false EX-99.P.SBSEF XYZ Inc 9999999999 9999999999 2023-01-01 2023-12-31 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

Ex. P (Disciplinary) Mockup

THIS DOCUMENT IS A TECHNICAL ILLUSTRATION OF HOW CERTAIN DISCLOSURES IN SEC FILINGS ARE TO BE TAGGED. IT DOES NOT INDICATE WHICH PARTICULAR DISCLOSURES MUST BE INCLUDED AND/OR TAGGED IN COMMISSION FILINGS, AND IT DOES NOT CONSTITUTE LEGAL GUIDANCE OF ANY SORT.

Disciplinary and Enforcement Protocols

We have various disciplinary and enforcement protocols, tools, and procedures. We impose appropriate sanctions applicable to our Members, including censure, fine, suspension, or expulsion from membership, suspension or bar from being associated with all Members, limitation of activities, functions, and operations of a Member, or any other fitting sanction, and to impose appropriate sanctions applicable to persons associated with Members, including censure, fine, suspension, or barring a person associated with an Member from being associated with all Members, limitation of activities, functions, and operations of a person associated with a Member, or any other fitting sanction for:

(i) a breach by a Member or a person associated with a Member of any covenant with the XYZ SBSEF; or

(ii) violation by a Member or a person associated with a Member of any of the terms, conditions, covenants, and provisions of the Compliance Manual . 

We also make available certain arrangements for alternative dispute resolution. Those arrangements are set forth in Rules 602-612 of our Rulebook.