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6 Cards in this Set
- Front
- Back
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Continuing Education
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2 anniversary date and 3 years thereafter. Must be completed within 120 days after.
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Conduct
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Conviction
Taking Test / Cheating on it Failure to try and pay fees Destruction of property Misconduct on Floor Competitive on other exchanges |
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Max gifts/gratuities
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$50 from another in and $100 to
another firm |
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Statutory Disqual
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Done by SRO. Only SEC may reinstate.
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SRO Sanction timeframe
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SRO Sanction happens after full review
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Where are background and Financial info kept
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Branch office and principal supervisory office
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