Pg. 1 of 3 • 23 results
Searching within: All Titles
Tip: Click  Title…Part… etc. in results to broaden / narrow search range, exits search mode at current location. See search guide.
30 days, or at a later date if the broker requests an extension and shows ..... : (1) The term “customs broker” means any person ..... qualifications of an applicant, the Secretary may conduct an examination to ..... A customs broker shall exercise ..... The failure of a customs broker that is
Board a copy of any report of an examination of a municipal securities broker ..... municipal securities dealer (other than one registered as a broker or dealer ..... protection of investors. Within forty-five days of the date of the filing ..... opportunity for hearing and shall be concluded within one hundred twenty days ..... such proceedings for up to ninety days if it finds good cause for such
provide that any registered broker or dealer may become a member of such ..... be associated with a member of the association, broker, or dealer ..... — (A) the broker or dealer performing brokerage ..... offered are not being offered or provided by the broker or dealer on behalf ..... broker-dealer offering the securities
registered broker or dealer in any exempted security ..... examination of the books and records of registered brokers and dealers, (D ..... securities broker or dealer or other person violated financial responsibility rules ..... broker or dealer in any exempted security ..... “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 ..... conducting any such examination of a—” for “prior to conducting any such ..... examination of a”, inserted subpar. (A) designation before “registered clearing ..... ) , inserted “government securities broker, government securities dealer,” in
affiliated persons subject to examination by or reporting requirements of ..... (1), redesignated par. (1) as subsec. (a) and substituted “floor broker, or ..... floor trader” for “or floor broker ..... Pub. L. 102–546 effective 180 days after Oct ..... regulations necessary to implement such amendment no later than 180 days
the need for enhanced examination and enforcement resources for investment ..... broker-dealers and investment advisers or affiliated broker-dealers and ..... Urban Affairs of the Senate, not later than 180 days after the date of
Within one hundred and eighty days ..... and eighty days after becoming a bank holding company, whichever is later ..... — (i) examination reports ..... examination of the subsidiary under this section; and ..... possible, avoid duplication of examination activities, reporting requirements
/or broker unless and until it is suspended or revoked by the Secretary in ..... renewal fee (if such fee is required) shall be mailed at least thirty days ..... renewal of that license at any time within thirty days by paying the fee ..... Secretary finds upon examination of the circumstances of such bankruptcy, which ..... exceed thirty days pending an investigation, for the purpose of determining
, § 615(4)(B) , inserted “, unless such customhouse broker is the importer ..... of record on an entry” after “broker ..... for examination of books and witnesses for prior provisions for examination ..... issue citations for examination under oath of any owner, importer, consignee ..... that is 90 days after Aug. 6, 2002 , except as
Pg. 1 of 3 • 23 results