17 C.F.R. § 3.57 – Proceedings under section 8a(2)(E) of the Act. | Midpage
§ 3.57
17 C.F.R. § 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.