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Up to Sep 30 2018Oct 1 2018 onwards

IM-1000-3. Failure to Register Personnel

This rule is no longer applicable. NASD IM-1000-3 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.

The failure of any member to register an employee, who should be so registered, as a Registered Representative may be deemed to be conduct inconsistent with just and equitable principles of trade and when discovered may be sufficient cause for appropriate disciplinary action.

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