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

QUESTION POSTED AT 29/05/2020 - 12:15 AM

Answered by admin AT 29/05/2020 - 12:15 AM

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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