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 >>15 U.S. Code § 80b–3 - Registration of investment advisers The Commission, by order, shall censure, place limitations on the activities, functions, or operations of, suspend for a period not exceeding twelve months, or revoke the registration of any
Continue reading >>Registration of investment advisers- Other acts prohibited by subchapter 15 U.S. Code § 80b–3 - Registration of investment advisers (d) Other acts prohibited by subchapter Any provision of this subchapter (other than subsection (a) of this s
Continue reading >>Registration of investment advisers-Procedure for registration; filing of application; effective date of registration; amendment of registration 15 U.S. Code § 80b–3 - Registration of investment advisers (c) Procedure for registration; filing of ap
Continue reading >>15 U.S. Code § 80b–3 - Registration of investment advisers (b) Investment advisers who need not be registered The provisions of subsection (a) of this section shall not apply to— (1) any investment adviser, other than an investment adviser w
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