Series 7 Top-off: Persons Exempt From Registration

Taken from our Series 7 Top-off Online Guide

Persons Exempt from Registration

Individuals associated with a member firm who are not required to be registered with FINRA are clerical personnel, persons who are not actively engaged in the investment banking or securities business, persons whose functions relate solely to the member’s need for nominal corporate officers or for capital pa

Since you're reading about Series 7 Top-off: Persons Exempt From Registration, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 7 Top-off
Please Enable Javascript
to view this content!