Code of Federal Regulations · Section

§ 3.57 — Proceedings Under Section 8a(2)(e) Of The Act

17 C.F.R. § 3.57

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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. § 3.56 17 C.F.R. § 3.60

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