Series 14: 5.1.6.4. Dual Member

Taken from our Series 14 Online Guide

5.1.6.4. Dual Member

Any member firm that is also a member of the New York Stock Exchange and is in compliance with similar supervisory requirements of the exchange shall be deemed to be in compliance with FINRA’s supervisory controls.

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Series 14: 5.1.6.4. Dual Member

Taken from our Series 14 Online Guide

5.1.6.4. Dual Member

Since you're reading about Series 14: 5.1.6.4. Dual Member, you might also be interested in:

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