FINRA Manual: Contents
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By-Laws of the Corporation
ARTICLE V REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS
Notification by Member to the Corporation and Associated Person of Termination; Amendments to Notification
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Sec. 1. No member shall permit any person associated with the member to engage in the investment banking or securities business unless the member determines that such person satisfies the qualification requirements established under Article III, Section 2 and is not subject to a disqualification under Article III, Section 4.
|Amended by SR-NASD-97-71 eff. Jan. 15, 1998.|