The document outlines restrictions and orders related to Covered Persons under SEC regulations. It details prohibitions on associations with regulated entities, engagement in securities, insurance, or banking businesses, and participation in savings or credit union activities. It also covers SEC disciplinary orders that suspend or revoke registrations, limit activities, or bar associations with entities. Additionally, it includes SEC cease-and-desist orders against violations of anti-fraud provisions and Section 5 of the Securities Act.
documents/EFTA01374027.pdf
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