Series 26: Registration Of FINRA Associated Persons

Registration of FINRA Associated Persons

Under the Exchange Act, all persons engaged in the broker-dealer securities business must fulfill personal registration requirements. The requirements are found in the FINRA rules. They also must pass one or more qualifying exams. This applies equally to dually-registered investment adviser representatives and to FINRA-registered brokers and dealers who sell or supervise the sale of investment company products. Registration of associated persons is specific to a member firm, meaning that a change of employer to another broker-dealer requires an individual to am