30 days, or at a later date if the broker requests an extension and shows ..... :(1) The term “customs broker” means any person ..... qualifications of an applicant, the Secretary may conduct an examination to ..... A customs broker shall exercise ..... The failure of a customs broker that is

by a registered broker or dealer in any exempted security ..... inspection and examination of the books and records of registered brokers and ..... securities broker or dealer or other person violated financial ..... transaction by a broker or dealer in any exempted security ..... ” for “nonmember broker or dealer” in par. (1), substituted “term ‘nonmember

less than thirty days prior to admitting any registered broker or dealer to ..... provide that any registered broker or dealer may become a member of such ..... be associated with a member of the association, broker, or dealer ..... —(A) the broker or dealer performing brokerage ..... offered are not being offered or provided by the broker or dealer on behalf

desirability of coordinating such examination with examinations conducted ..... regulatory duplication or undue regulatory burdens for such broker or dealer ..... ”, substituted “prior to conducting any such examination of a—” for “prior to ..... conducting any such examination of a”, inserted subpar. (A) designation before ..... , § 102(i)(1), inserted “government securities broker, government

.—The Commission shall review and analyze the need for enhanced examination and ..... advisory activities of dually registered broker-dealers and investment advisers or ..... affiliated broker-dealers and investment advisers ..... than 180 days after the date of enactment of this subtitle

Within one hundred and eighty days ..... and eighty days after becoming a bank holding company, whichever is later ..... —(i) examination reports ..... examination of the subsidiary under this section; and ..... possible, avoid duplication of examination activities, reporting requirements

. L. 103–182, § 615(4)(B), inserted “, unless such customhouse broker ..... is the importer of record on an entry” after “broker ..... ) to (c) provisions for examination of books and witnesses for prior ..... provisions for examination of importer and others, which authorized appropriate ..... customs officers to issue citations for examination under oath of any owner

§ 1509. Examination ..... , shall provide for such a conference to be held within 15 days after the ..... auditor shall complete the formal written audit report within 90 days following ..... audited no later than 30 days following completion of the report ..... —(i) any customhouse broker, unless such customhouse

[15 U.S.C. 78u–2, 78u–3], in the case of a broker or dealer ..... respect to creditors that are subject to examination by the agencies referred ..... current examination and only in connection with transactions that are ..... consummated after the date of the immediately preceding examination, except that ..... in connection with transactions consummated after the date of examination

) Within forty-five days of the date of the filing of such ..... opportunity for hearing and shall be concluded within one hundred twenty days of the ..... proceedings for up to ninety days if it finds good cause for such extension and ..... ) arises out of the conduct of the business of a broker, dealer ..... , government securities broker, government securities dealer, fiduciary, transfer