Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification

Rule 19h-1 under the Securities Exchange Act prescribes the form and content of notices and applications by self-regulatory organizations (SROs) regarding proposed admissions to, or continuances in, membership, participation of association with a member of any person subject to a statutory disqualification. The principal purpose of Rule 19h-1 is to provide the Commission with an opportunity to ensure persons subject to statutory disqualification are not permitted to enter or to continue in the securities industry without the Commission's review of whether the entry or continuance is consistent with the public interest and the protection of investors. The information must be provided when persons who are subject to statutory disqualification seek to enter or to continue in the securities business.

The latest form for Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification expires 2022-07-31 and can be found here.

19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification

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