Disqualifications and Waivers

Overview

A number of financial statutes and rules "disqualify" a firm or individual from certain activities if that firm or individual has been found to have engaged in a bad act. However, in many cases, the regulators will provide an exemption from such disqualification where the fact of the prior bad act does not give rise to a material concern that the firm or individual will engage in misconduct relating to the potential disqualification. This page provides information both as to the rules that give rise to disqualification and to the ability to obtain waivers.

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Disqualification Provisions