Series 14: 7.3.5.9. Continued Association With A Person Subject To A Statutory Disqualification

Taken from our Series 14 Online Guide

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

As discussed in Chapter 5, a person can be statutorily disqualified due to a variety of events, such as a felony conviction, expulsion from FINRA, or making a false statement on Form U4. If a firm wishes to employ or continue its association with a person who is subject to statutory dis

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