Series 24: 4.1.12.6. Denial, Suspension, Or Revocation Of Registration

Taken from our Series 24 Online Guide

4.1.12.6. Denial, Suspension, or Revocation of Registration

The Exchange Act authorizes the SEC to deny, suspend, or revoke the registration of a security as necessary or appropriate for the protection of investors. The SEC must first give notice and the opportunity for a hearing.

If the SEC

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