17 CFR § 3.57 Registration

§ 3.57 Proceedings under section 8a(2)(E) of the Act.

Current through Aug 17, 2026 · Read all of Part 3

⚠ 1 pending change to Part 3

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.

← § 3.56 Suspension or modification of registration pursuant to section 8a(11) of the Act.§ 3.60 Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act. →