management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation
follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation or higher more than
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
; (4) have good management record as follows: (a) for the period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being
Office may not grant an approval to the application for offer for sale of the debt securities: (1) the foreign entity who submits the application or the offer for sale of the debt securities has the
the services prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to
expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to the SEC Office no less than