Series 52: 8.2.3. Registration Of Associated Persons

Taken from our Series 52 Top Off Online Guide

8.2.3. Registration of Associated Persons

All persons engaged in the securities business, other than bank dealers, are subject to registration requirements under MSRB rules. The MSRB recognizes two broad categories of individuals for registration: representatives and principals.

A principal is a person actively engaged in the management of the member’s securities business, including sole proprietors, officers, partners, and managers.

A representative is any other person who solicits or conducts business in the securities business, including research analysts and broker-dealer trainers.

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