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§3.46. Termination. — Inbound Citations

17 C.F.R. § 3.46

Cited by 1 regulation in release Current.

Citations to 17 C.F.R. § 3.46 as a whole

  • (a) Subject to the provisions of § 3.46 of this subpart and all of the obligations imposed on such registrants under the Act (in particular, section 14 thereof) and the rules, regulations and orders thereunder, an applicant for registration as an introducing broker who has received written notification that a temporary license has been granted may act in the capacity of a guaranteed introducing broker.