Suspension or termination of Pool Assembler.

CFR · 2024-01-01 · US · Title 13

(a) (1) Does not comply with any of the requirements in § 120.630 (a) and (c); (2) Has been indicted or otherwise formally charged with, or convicted of, a misdemeanor or felony; (3) Has received an adverse civil judgment that it has committed a breach of trust or a violation of a law or regulation protecting the integrity of business transactions or relationships; (4) Has not formed a Pool for at least three years; or (5) Is under investigation by its regulating authority for activities which may affect its fitness to participate in the Secondary Market. (b) (c)

official document · source cfr-2024 · id 13:§ 120.631