Series 14: 7.2.4.6.1. Continued Association With A Person Subject To A Statutory Disqualification

Taken from our Series 14 Online Guide

7.2.4.6.1. Continued Association with a Person Subject to a Statutory Disqualification

If a firm wishes to employ or continue its association with a person who is subject to statutory disqualification, it must file an application for continued association with FINRA’s Member Regulation Department. The depar

Since you're reading about Series 14: 7.2.4.6.1. Continued Association With A Person Subject To A Statutory Disqualification, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 14
Please Enable Javascript
to view this content!