View Whole SectionText only Print Print Manager Link
Previous Next

Qualification Requirements

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.

Previous Next