View Whole Section Print Print Manager Link
Previous Next

100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION


View whole section

Contents:
101. Electronic Filing Requirements for Uniform Forms
102. Filing of Misleading Information as to Membership or Registration
111. Membership Proceedings
112. New Member Application and Interview
113. Department Decision
114. Review by National Adjudicatory Council
115. Discretionary Review by FINRA Board
116. Application for Approval of Change in Ownership, Control, or Business Operations
118. Application to Commission for Review
119. Foreign Members and Associates
121. Registration Requirements
122. Qualification Examinations
123. Categories of Registration
124. Persons Exempt from Registration
125. Continuing Education Requirements