SIE: Persons Exempt From Registration

Taken from our SIE Online Guide

Persons Exempt from Registration

A firm’s clerical personnel and employees who are not actively engaged in the investment banking or securities business, or whose functions relate solely to the member’s need for nominal corporate officers or for capital participation, are not required to be registered with FINRA. “Nominal corporate officers” include, for instance, a general counsel who does not have supervisory authority.

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