C.F.R. » Title 17 » CHAPTER I—COMMODITY FUTURES TRADING COMMISSION › PART 3—REGISTRATION › Subpart C—Denial, Suspension or Revocation of Registration

17 C.F.R. § 3.57

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

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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.