Series 14: 7.2.4.6.1. Continued Association With A Person Subject To A Statutory Disqualification

Taken from our Series 14 Online Guide

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

If a firm wishes to employ or continue its association with a person who is subject to statutory disqualification, it must file an application for continued association with FINRA’s Member Regulation Department. The depar

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