or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under
three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph
period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless
imposed a probation or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for
Office’s approval is obtained. Clause 11. In cases where the liquidator fails to complete the liquidation within the period specified in Clause 10, the liquidator shall submit to the Office the request for
Notification. Clause 9 In cases where it appears to the SEC Office that any derivatives broker violates or fails to comply with this Notification or rules set out by the derivatives broker for compliance with