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PROPOSED REVISIONS TO THE RULES GOVERNING DISCIPLINE
PROPOSAL 2020003
March 3, 2020,
The Disciplinary Board has recommended amendments to Rule 17212 NMRA for the
Supreme Courts consideration.
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What is proposal 003 - notifications?
Proposal 003 - notifications refers to a regulatory framework requiring entities to report specific notifications related to compliance, operational changes, or risk management.
Who is required to file proposal 003 - notifications?
Entities that fall under the regulatory oversight of the governing body related to proposal 003, which may include businesses, organizations, or financial institutions, are required to file.
How to fill out proposal 003 - notifications?
To fill out proposal 003 - notifications, follow the provided guidelines and templates, ensuring all required information is accurately completed and submitted through the designated channels.
What is the purpose of proposal 003 - notifications?
The purpose of proposal 003 - notifications is to enhance transparency and ensure timely communication of important operational changes or risks that may impact stakeholders.
What information must be reported on proposal 003 - notifications?
The information required includes the entity's identification details, description of the change or risk, impact assessment, and any relevant supporting documentation.
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