that any registered broker or dealer may become a member of such association ..... associated with a member of the association, broker, or dealer ..... — (A) the broker or dealer performing brokerage services to ..... are not being offered or provided by the broker or dealer on behalf of the ..... (ii) the identity of the registered broker

by a registered broker or dealer in any exempted security ..... inspection and examination of the books and records of registered brokers and ..... securities broker or dealer or other person violated financial ..... transaction by a broker or dealer in any exempted security ..... ” for “nonmember broker or dealer” in par. (1), substituted “term ‘nonmember

desirability of coordinating such examination with examinations conducted ..... regulatory duplication or undue regulatory burdens for such broker or dealer ..... ”, substituted “prior to conducting any such examination of a—” for “prior to ..... conducting any such examination of a”, inserted subpar. (A) designation before ..... , § 102(i)(1) , inserted “government securities broker, government

affiliated persons subject to examination by or reporting requirements of ..... “floor broker, or floor trader” for “or floor broker ..... . L. 102–546 effective 180 days after Oct. 28 ..... regulations necessary to implement such amendment no later than 180 days after ..... . L. 90–258 effective 120 days after Feb. 19

— (i) examination reports made by other Federal or ..... subsidiary of a bank holding company before commencing an examination of the ..... of examination activities, reporting requirements, and requests for ..... — (i) a broker or dealer that is ..... activities or to terminate (within one hundred and twenty days or such longer

.— The Commission shall review and analyze the need for enhanced examination and ..... advisory activities of dually registered broker-dealers and investment advisers or ..... affiliated broker-dealers and investment advisers ..... than 180 days after the date of enactment of this subtitle

. L. 103–182, § 615(4)(B) , inserted “, unless such customhouse broker ..... is the importer of record on an entry” after “broker ..... ) to (c) provisions for examination of books and witnesses for prior ..... provisions for examination of importer and others, which authorized appropriate ..... customs officers to issue citations for examination under oath of any owner

§ 1509. Examination ..... , shall provide for such a conference to be held within 15 days after the ..... auditor shall complete the formal written audit report within 90 days following ..... audited no later than 30 days following completion of the report ..... — (i) any customhouse broker, unless such

[ 15 U.S.C. 78u–2 , 78u–3], in the case of a broker or dealer ..... subject to examination by the agencies referred to in paragraphs (1) through ..... arising from practices identified in the current examination and only in ..... immediately preceding examination, except that where practices giving rise to ..... transactions consummated after the date of examination in which such practices were

-five days of the date of the filing of such application (or within such ..... concluded within one hundred twenty days of the date of the filing of the ..... extend the time for conclusion of such proceedings for up to ninety days ..... the business of a broker, dealer, municipal securities dealer, investment ..... adviser, bank, insurance company, government securities broker, government