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3 Cards in this Set
- Front
- Back
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Associated Person |
* Natural Person * Sole Proprietor, Partner, director... * Listed on sched A of the BD |
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Qualification of Members and Associated Person |
Any registered broker, dealer, municipal securities , those whose business consists in transacting business in the US |
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Ineligibility of Person |
*Person who fails or ceases to satisfy qualification requirements *Becomes subject for disqualification *Fails to comply with requirements of forms |
