Series 24: Member Supervisory Responsibilities And Procedures

Taken from our Series 24 Online Guide

Member Supervisory Responsibilities and Procedures

By Section 15(b)(4) of the Exchange Act, the SEC may take punitive action against any broker-dealer that has willfully violated, enabled the violation or failed to supervise a violator of applicable securities law and regulations under his employ. The Act goes on to say, however, that no supervisor will have failed in his dutie

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