Series 24: 1.1.1.7.3. Restrictive Agreements

Taken from our Series 24 Online Guide

1.1.1.7.3. Restrictive Agreements

FINRA may impose restrictive agreements on an applicant, which will limit the scope of a member firm’s business activity. Such agreements are employed in those rare instances where FINRA believes that such restrictions will correct an applicant’s failure to meet its admission stan

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