#2248398
Ar chlárú dó le SEC, déantar Eagraíocht Féin-Rialála (EFR) de MUN.
Upon registration with the SEC, a NSE becomes a Self-Regulatory Organisation (‘SRO’).
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#2248416
Tá rialacha EFR faoi réir athbhreithniú SEC freisin.
The SRO rules are also subject to SEC review.
#2248418
De bhun Roinn 21 den Acht Malartán, féadfaidh SEC imscrúdú a dhéanamh ar sháruithe rialacha EFR agus smachtbhannaí a fhorchur ar chomhaltaí EFR a sháraíonn na rialacha sin.
Pursuant to Section 21 of the Exchange Act, the SEC may investigate violations of SRO rules and impose sanctions on SRO members that violate those rules.
#2248419
Mar chuid dá mhaoirseacht leanúnach ar EFRanna, déanann SEC meastóireacht ar chumas gach EFR maoirseacht a dhéanamh ar a gcomhaltaí agus ar a ngníomhaíochtaí trádála.
As part of its ongoing supervision of SROs, the SEC evaluates the ability of each NSE to supervise its members and their trading activities.
#2248427
Tá cumhachtaí ag SEC chun caingne fhorfheidhmithe a thabhairt in aghaidh EFR mar gheall ar gan ghníomhú nó gan na feidhmeanna is gá a chomhlíonadh.
The SEC has powers to bring an enforcement action against an SRO for failure to act or adequately perform required functions.
#2248411
Leis an Acht Malartán, ceanglaítear ar gach EFR cáilithe a bheith in ann faireachán agus forfheidhmiú a dhéanamh ar an gcomhlíonadh a dhéanann a gcuid comhaltaí agus daoine a bhaineann lena gcomhaltaí ar an Acht Malartán, ar na rialacha agus rialacháin faoin Acht sin agus ar a gcuid rialacha féin.
The Exchange Act requires that all registered NSEs are able to enforce compliance by their members and persons associated with their members with the Exchange Act, the rules and regulations thereunder, and their own rules.
#2248417
Faoi Roinn 19(h) den Acht Malartán, féadfaidh SEC smachtbhannaí a fhorchur ar EFRanna a mhainnigh, gan údar ná leithscéal réasúnach, forfheidhmiú a dhéanamh ar chomhlíonadh aon riail EFR ag comhalta nó ag duine a bhaineann le comhalta.
Under Section 19(h) of the Exchange Act, the SEC can impose sanctions on SROs that have failed, without reasonable justification or excuse, to enforce compliance with any SRO rule by a member or person associated with a member.