General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 15b7-1 -- Compliance with Qualification Requirements of Self-Regulatory Organizations
No registered broker or dealer shall effect any transaction in, or induce the
purchase or sale of, any security unless any natural person associated with such
broker or dealer who effects or is involved in effecting such transaction is registered
or approved in accordance with the standards of training, experience, competence,
and other qualification standards (including but not limited to submitting and maintaining
all required forms, paying all required fees, and passing any required examinations)
established by the rules of any national securities exchange or national securities
association of which such broker or dealer is a member or under the rules of the
Municipal Securities Rulemaking Board (if it is subject to the rules of that organization).
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with the understanding that the University of Cincinnati College
of Law is not engaged in rendering legal, accounting or other professional
services. If legal advice or other expert assistance is required,
the services of a competent professional person should be sought. See Terms and Conditions of Use.
