17 C.F.R. § 3.57

Current through May 31, 2024

Section 3.57 - Proceedings under section 8a(2)(E) of the Act

The Commission will not initiate a proceeding under section 8a(2)(E) of the Act, if respondeat superior is the sole basis upon which the registrant may be found subject to a statutory disqualification.

17 C.F.R. §3.57