Nev. Admin. Code § 90.340

Current through October 11, 2024

Section 90.340 - Failure to comply with Rule 15c3-1: Disciplinary proceedings

Disciplinary proceedings may be commenced pursuant to NRS 90.420 against a broker-dealer who fails to comply with the provisions of Rule 15c3-1 of the Securities and Exchange Commission, relating to capital requirements.

Added to NAC by Sec'y of State, eff. 4-22-88; A 10-16-89

NRS 90.420, 90.750