Examining authority

Examining authority means:
(1) The national securities exchange or national securities association of which a broker or dealer is a member; or
(2) If a member of more than one self-regulatory organization, the organization designated by the Securities and Exchange Commission as the examining authority for the broker or dealer.

Source

12 CFR § 221.2

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Scoping language

The terms used in this part have the meanings given them in section 3 of the Act or as defined in this section as follows:

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