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萨班斯法案（2002）Sec.604.(1)
SEC.604.QUALIFICATIONS OF ASSOCIATED PERSONS OF BROKERS AND DEALERS.
(a)BROKERS AND DEALERS.-Section 15(b)(4)of the Securities Exchange Act of 1934(15 U.S.C.78o)is amended-
(1)by striking subparagraph(F)and inserting the following:
"(F)is subject to any order of the Commission barring or suspending the right of the person to be associated with a broker or dealer;"1473and
(2)in subparagraph(G),by striking the period at the end and inserting the following:"1473or
"(H)is subject to any final order of a State securities commission(or any agency or officer performing like functions),State authority that supervises or examines banks,savings associations,or credit unions,State insurance commission(or any agency or office performing like functions),an appropriate Federal banking agency(as defined in section 3 of the Federal Deposit Insurance Act(12 U.S.C.1813(q))),or the National Credit Union Administration,that-
"(i)bars such person from association with an entity regulated by such commission,authority,agency,or officer,or from engaging in the business of securities,insurance,banking,savings association activities,or credit union activities;or
"(ii)constitutes a final order based on violations of any laws or regulations that prohibit fraudulent,manipulative,or deceptive conduct.".
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