Regulatory Notice 07-41
When an associated person of a FINRA member firm is registered with another self-regulatory organization (SRO) in a registration category recognized by FINRA, the firm must register such person in that category with FINRA.
To view the full Notice click here.
To view a list of registration categories recognized by FINRA click here.
Subscribe to:
Post Comments (Atom)
No comments:
Post a Comment