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This document is an order from the Securities and Exchange Commission approving an application from NYSE Arca, Inc. for Laris Milonas to become a Principal Member/Owner of Order Execution Services,
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How to fill out Order Approving Application for Relief from a Statutory Disqualification
01
Review the requirements for the Order Approving Application for Relief from a Statutory Disqualification.
02
Gather all necessary documents and information that support your application.
03
Complete the application form meticulously, ensuring all fields are filled out accurately.
04
Clearly explain the reasons for seeking relief from the disqualification in the designated section.
05
Attach any supporting documentation that validates your claims, such as character references or evidence of rehabilitation.
06
Review the application for any errors or omissions before submitting it.
07
Submit the completed application to the appropriate regulatory authority along with any required fees.
Who needs Order Approving Application for Relief from a Statutory Disqualification?
01
Individuals who have been statutorily disqualified from a profession or activity due to a prior conviction or misconduct.
02
Professionals seeking to regain their eligibility to work in regulated industries.
03
Anyone aiming to demonstrate rehabilitation and their suitability to return to practice after a disqualification.
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People Also Ask about
What is statutory disqualification as defined in Section 3 A )( 39 of the Exchange Act?
Under Exchange Act Section 3(a)(39), an encumbrance of a person, including a broker-dealer, who has engaged in certain types of misconduct, to SRO membership or participation or association with a broker-dealer.
What does statutory disqualification mean?
Statutory disqualification is a status that denotes that the individual may be subject to disqualification under Article III, Section 4 of the FINRA By-Laws and/or parallel provisions in the Securities Exchange Act of 1934.
What is a statutory disqualification on U4?
WHAT DISQUALIFIES YOU ON A U4? Any violations of securities or financial-related laws or regulations will disqualify a person on a U4. Additionally, all Felony convictions and certain misdemeanor offenses involving fraudulent pretenses within the previous 10 years are disqualifications.
Which of the following will statutorily disqualify an individual from FINRA registration?
If a DUI results in a felony conviction, it could lead to “statutory disqualification,” which may prevent a person from working in the securities industry without special approval.
What is Section 3 A )( 39 statutory disqualification?
Under Exchange Act Section 3(a)(39), an encumbrance of a person, including a broker-dealer, who has engaged in certain types of misconduct, to SRO membership or participation or association with a broker-dealer.
What would disqualify you from FINRA?
FINRA background check disqualifiers include all felony convictions and certain fraudulent misdemeanor convictions within 10 years. Other disqualifications include injunctions from investment or securities activities and expulsions from financial trade organizations.
What is a statutory disqualification on U4?
If FINRA decides that the failure to update the U4 in a timely manner was “willful” on the part of the advisor, that advisor may receive a “statutory disqualification” (SD). Unless a firm is willing to defend its advisor, an SD leads to termination.
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What is Order Approving Application for Relief from a Statutory Disqualification?
The Order Approving Application for Relief from a Statutory Disqualification is a formal request submitted to seek permission to engage in regulated activities despite a previous disqualification due to legal or regulatory issues.
Who is required to file Order Approving Application for Relief from a Statutory Disqualification?
Individuals or entities that have been subject to a statutory disqualification due to past actions or regulatory violations and wish to resume licensure or registration in regulated industries must file this application.
How to fill out Order Approving Application for Relief from a Statutory Disqualification?
To fill out the Order Approving Application, the applicant must provide personal information, details about the disqualification, supporting documents that demonstrate rehabilitation or changed circumstances, and any additional information required by the regulatory authority.
What is the purpose of Order Approving Application for Relief from a Statutory Disqualification?
The purpose of this application is to evaluate whether the applicant has taken appropriate steps to remediate past issues and determine if they can be reinstated to participate in regulated activities.
What information must be reported on Order Approving Application for Relief from a Statutory Disqualification?
The application must report personal identification information, a description of the statutory disqualification, evidence of rehabilitation, any relevant legal documents, and an explanation of why the applicant seeks relief from the disqualification.
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