Series 82: 2.1.4. Member Supervisory Responsibilities And Procedures

Taken from our Series 82 Online Guide

2.1.4. Member Supervisory Responsibilities and Procedures

By Section 15(b)(4) of the Exchange Act, the SEC may take punitive action against any broker-dealer that has willfully violated, enabled a violation of, or failed to supervise a violator of securities law and regulations. The Act goes on to say that no supervisor will have failed in his duties if a supervisory system and procedures have been established and dutifully applied to

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