Series 24: 1.2. Requirements And Conditions Of Individual Registration

Taken from our Series 24 Online Guide

1.2. Requirements and Conditions of Individual Registration

All persons engaged in the broker-dealer securities business are subject by the Exchange Act to personal registration requirements under FINRA rules and must pass one or more qualifying exams. The SEC specifically bars broker-dealers from allowing any individual who is not properly registered from performing the duties of a registered employee. For eligible emp

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