Stock broker inspections require inspecting authorities to submit inspection reports to the board as soon as possible. Regulation 30 requires the inspecting authority to submit an inspection report to the Board and mandates that the report be forwarded to the Board as soon ... Summary
Stock broker inspections require inspecting authorities to submit inspection reports to the board as soon as possible.
Regulation 30 requires the inspecting authority to submit an inspection report to the Board and mandates that the report be forwarded to the Board as soon as possible, creating a temporal duty of timely submission under the inspection procedure for stock brokers.
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