)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements
underwriting of TAKUNI and CCN securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or
subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best