Source: http://fairfaxvirginialaws.com/divorce-attorney-virginia-beach/
Timestamp: 2017-12-13 13:09:57
Document Index: 397957027

Matched Legal Cases: ['§ 77', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78']

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March 31, 2015 - sadmin
(j) Registration for sales of private securities offerings. A registered securities association shall create a limited qualification category for any associated person of a member who effects sales as part of a primary offering of securities not involving a public offering, pursuant to section 3(b), 4(2), or 4(6) of the Securities Act of 1933 [15 USCS § 77c(b), 77d(2), or 77d(6)] and the rules and regulations thereunder, and shall deem qualified in such limited qualification category, without testing, any bank employee who, in the six month period preceding the date of the enactment of the Gramm-Leach-Bliley Act [enacted Nov. 12, 1999], engaged in effecting such sales.
(k) Limited purpose national securities association.
(1) Regulation of members with respect to security futures products. A futures association registered under section 17 of the Commodity Exchange Act [15 USCS § 78q] shall be a registered national securities association for the limited purpose of regulating the activities of members who are registered as brokers or dealers in security futures products pursuant to section 15(b)(11) [15 USCS § 78o(b)(11)].
(2) Requirements for registration. Such a securities association shall–
(A) be so organized and have the capacity to carry out the purposes of the securities laws applicable to security futures products and to comply, and (subject to any rule or order of the Commission pursuant to section 19(g)(2) [15 USCS § 78s(g)(2)]) to enforce compliance by its members and persons associated with its members, with the provisions of the securities laws applicable to security futures products, the rules and regulations thereunder, and its rules;
(B) have rules that–
(i) are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest, including rules governing sales practices and the advertising of security futures products reasonably comparable to those of other national securities associations registered pursuant to subsection (a) that are applicable to security futures products; and
(ii) are not designed to regulate by virtue of any authority conferred by this title [15 USCS §§ 78a et seq.] matters not related to the purposes of this title [15 USCS §§ 78a et seq.] or the administration of the association;
(C) have rules that provide that (subject to any rule or order of the Commission pursuant to section 19(g)(2) [15 USCS § 78s(g)(2)]) its members and persons associated with its members shall be appropriately disciplined for violation of any provision of the securities laws applicable to security futures products, the rules or regulations thereunder, or the rules of the association, by expulsion, suspension, limitation of activities, functions, and operations, fine, censure, being suspended or barred from being associated with a member, or any other fitting sanction; and
(D) have rules that ensure that members and natural persons associated with members meet such standards of training, experience, and competence necessary to effect transactions in security futures products and are tested for their knowledge of securities and security futures products.
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