Securities Law

NPS 17 - Violations of Securities Laws of Other Jurisdictions - Conduct Affecting Fitness for Continued Registration [Rescinded]

Published Date: 1978-05-19
Effective Date: 1978-06-01
Rescinded Date: 1998-10-16

Notice is hereby given to all securities registrants that violations of the securities laws of any jurisdiction and violations of the rules of a recognized self-regulatory organization that are adopted for the protection of investors are considered in principle to be prejudicial to the public interest and may affect their fitness for continued registration.