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operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
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procedures as specified in the notification of the SEC. Acts presumed to be done by an associate in securities price manipulation (Section 244/6) 1. Opening a joint bank account for making a payment