The Rule 9000 Series is the Code of Procedure and includes proceedings for disciplining a member or person associated with a member; proceedings for regulating the activities of a member experiencing financial or operational difficulties; proceedings for
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Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
Continue reading >>Registration of investment advisers-Exemption of and reporting by certain private fund advisers 15 U.S. Code § 80b–3 - Registration of investment advisers (m) Exemption of and reporting by certain private fund advisers (1) In general
Continue reading >>Registration of investment advisers-Exemption of venture capital fund advisers 15 U.S. Code § 80b–3 - Registration of investment advisers (l) Exemption of venture capital fund advisers
Continue reading >>15 U.S. Code § 80b–3 - Registration of investment advisers (k) Cease-and-desist proceedings (1) Authority of Commission If the Commission finds, after notice and opportunity for hearing, that any person is violating, has violated, or is ab
Continue reading >>Registration of investment advisers-Authority to enter order requiring accounting and disgorgement 15 U.S. Code § 80b–3 - Registration of investment advisers (j) Authority to enter order requiring accounting and disgorgement In any proceeding in wh
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