than thirty days prior to admitting any registered broker or dealer to ..... 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

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

coordinating such examination with examinations conducted by the Commodity Futures ..... undue regulatory burdens for such broker or dealer or exchange ..... any such examination of a—” for “prior to conducting any such examination ..... ) , inserted “government securities broker, government securities dealer,” in ..... May 27, 1936 , substituted “every broker or dealer registered

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

[ 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

) Within forty-five days of the date of the filing of such ..... for hearing and shall be concluded within one hundred twenty days of the ..... for up to ninety days if it finds good cause for such extension and ..... ) arises out of the conduct of the business of a broker, dealer, municipal ..... securities broker, government securities dealer, fiduciary, transfer agent

July 18, 2025 , or the date that is 120 days after ..... ’ means any association subject to examination and supervision by the Office of ..... amendment, text read as follows: “The term ‘broker’ means any person engaged in ..... , through a broker or otherwise, but does not include a bank, or any person insofar ..... as a broker, dealer, municipal securities dealer, government securities