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IM-1000-3. Failure to Register Personnel

SR-FINRA-2017-007 has been approved by the SEC. Effective October 1, 2018, this rule will no longer be applicable. 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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