Regulations last checked for updates: Nov 22, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024
§ 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.

source: 45 FR 80491, Dec. 5, 1980, unless otherwise noted.
cite as: 17 CFR 3.57