---
kind: "section"
citation: "17 C.F.R. § 3.57"
title: "17"
number: "3.57"
heading: "Proceedings under section 8a(2)(E) of the Act."
url: "https://uscodex.org/cfr/17/3.57"
---

# §3.57. Proceedings under section 8a(2)(E) of the Act.


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.


## Notes

### Source

Source: 49 FR 8220, Mar. 5, 1984, unless otherwise noted.

### Authority

Authority: 5 U.S.C. 552, 552b; 7 U.S.C. 1a, 2, 6a, 6b, 6b-1, 6c, 6d, 6e, 6f, 6g, 6h, 6 i, 6k, 6m, 6n, 6 o, 6p, 6s, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23.

### Source

Source: 45 FR 80491, Dec. 5, 1980, unless otherwise noted.