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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
affiliated persons subject to examination by or reporting requirements of ..... “floor broker, or floor trader” for “or floor broker ..... . L. 102–546 effective 180 days after Oct. 28 ..... regulations necessary to implement such amendment no later than 180 days after ..... . L. 90–258 effective 120 days after Feb. 19
.—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
/or broker unless and until it is suspended or revoked by the Secretary in ..... renewal fee (if such fee is required) shall be mailed at least thirty days ..... renewal of that license at any time within thirty days by paying the fee ..... Secretary finds upon examination of the circumstances of such bankruptcy, which ..... exceed thirty days pending an investigation, for the purpose of determining
. 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
[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
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