Series 66: 7.10.3. Limits On Employment Or Association

Taken from our Series 66 Online Guide

7.10.3. Limits on Employment or Association

While the USA is more nebulous on the limits of employment and association with investment adviser representatives, it draws some clear lines in the sand for agents of broker-dealers. Specifically, there are two clear limits placed on employment or affiliation with a broker-dealer or issuer.

1. B

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