Under the securities exchange act of 1934, registration with the sec as a broker-dealer may be revoked if the broker-dealer fail

Question

Dmitry_Shevchenko [17]

3 years ago

9

Under the securities exchange act of 1934, registration with the sec as a broker-dealer may be revoked if the broker-dealer fail

s to:

Business

1 answer:

spin [16.1K] · Answer 1 · 2022-01-03T18:29:09+03:00

spin [16.1K]3 years ago

5 0

Fails to supervise employees, has previously been suspended by another Administrator, has been convicted of a financial crime within the past 10 years, becomes insolvent.