17 CFR 3.57

§ 3.57 Proceedings under section 8a(2)(E) of the Act.

United States · 17 CFR — Commodity and Securities Exchanges · Status: effective

Cite this

Citation: 17 CFR 3.57, § 3.57 Proceedings under section 8a(2)(E) of the Act, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/66484
Permanent ID: ys:prov:66484@1
SHA-256: 046d56bfb5ed0b4b9cea30b13129ca97c85c091613685d59901d705e4a2fd1d2

The hash is SHA-256 of this version's text, with every run of whitespace collapsed to a single space and the ends trimmed. The ID always leads back here, and checking it says whether the text you cited is still the current version.

Full text

The Commission will not initiate a proceeding under section 8a(2)(E) of the Act, if respondeat superior is the sole basis upon which the registrant may be found subject to a statutory disqualification.

Legislative history

This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.