17 C.F.R. § 240.15b7-1

Compliance with qualification requirements of self-regulatory organizations

Read at: eCFRecfr.gov CornellLII GovInfogovinfo.gov CasesGoogle Scholar

No registered broker or dealer shall effect any transaction in, or induce the purchase or sale of, any security unless any natural person associated with such broker or dealer who effects or is involved in effecting such transaction is registered or approved in accordance with the standards of training, experience, competence, and other qualification standards (including but not limited to submitting and maintaining all required forms, paying all required fees, and passing any required examinations) established by the rules of any national securities exchange or national securities association of which such broker or dealer is a member or under the rules of the Municipal Securities Rulemaking Board (if it is subject to the rules of that organization).

[58 FR 27658, May 11, 1993]

Notes of Decisions

Cited in 1 case, 2008–2008 · leading case: Berry v. Lupica, 90657 (10-2-2008), 2008 Ohio 5102 (Ohio Ct. App. 2008).

Sort: Relevance Newest Treatment

Berry v. Lupica, 90657 (10-2-2008), 2008 Ohio 5102 (Ohio Ct. App. 2008). “To effect this registration, he executed a Form U-4, which is the "Uniform Application for Securities Industry Registration or Transfer.”

Annotations are extracted automatically from the opinions in the Syfert caselaw corpus and ranked by authority, recency, and treatment. Dots show Syfertize treatment of the citing case itself.