Series 14: 5.1.5.4. Investigation Of Registered Personnel

Taken from our Series 14 Online Guide

5.1.5.4. Investigation of Registered Personnel

Each member firm has the responsibility to investigate the good character, business repute, qualifications, and experience of any person before certifying that person for registration with FINRA. Where an applicant for registration has previously been registered with FINRA, the member firm must review a copy of the Form U5 filed by that person’s most recent employer.

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