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

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Nenettecar4228 Nenettecar4228

23-06-2017
Business

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

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babegenious99 babegenious99 · Answer 1 · 2017-06-23T08:25:53+02:00

babegenious99 babegenious99

23-06-2017

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.

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