Series 7: 18.3.2.3. Persons Exempt From Registration

Taken from our Series 7 Online Guide

18.3.2.3. 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 partici

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