SIE: Conditions Of Individual Registration

Taken from our SIE Online Guide

Conditions of Individual Registration

Principals and representatives have certain rights and obligations associated with their FINRA registration, which comes with a two-year term. The continuance of their registration depends on their compliance with these terms.

Note: Membership applies only to firms, not individuals.

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SIE: Conditions Of Individual Registration

Taken from our SIE Online Guide

Conditions of Individual Registration

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