Search results with tag "Sea rule 15c3 1"

SEA Rule 15c3-1 - FINRA

whose underwriting activities are limited solely to acting as underwriters in best efforts or all or none underwritings in conformity with paragraph (b)(2) of § 240.15c24, so long as those - persons engage in no other dealer activities. /01 Commodities Transactions - …

  Rules, Underwriting, Finra, 315c, Sea rule 15c3 1