Section 5 of the Securities Act. Is suspended or expelled from membership in, or suspended or barred from association with, a member of a registered national securities exchange or a registered national or affiliated securities association for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade.
Appears in 5 contracts
Samples: Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Fund VII, LLC), Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Fund VI, LLC), Managing Broker Dealer/Underwriter Agreement (Red Oak Capital Fund VI, LLC)
