prescribed under the said notifications except for a case where there is difference in procedures which does not result in any material change of the qualifications stated in the application. Clause 26 Any
Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall notify the result of the application within thirty days
result of the application within thirty days as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the
client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the derivatives broker shall not represent any fixed rate of profits or returns on
disclosing personal information, information on trading of derivatives, or a client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the
cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative from appointing a sub-representative; **(4) stipulating that the representative must cooperate