StacksVerified U.S. regulatory reference

17 CFR §3.57

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
The Commission will not initiate a proceeding under section 8a(2)(E) of the Act, if respondeat superior is the sole basis upon which the registrant may be found subject to a statutory disqualification.