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Rules and By-Laws of FINRA/NASD

Dashboard > Securities and Tax Regulations > Rules and By-Laws of FINRA/NASD

Rules and By-Laws of FINRA/NASD

Rules and By-Laws of FINRA/NASD

“Dude, FINRA’s a pretty big deal,” Bart told him. “You’re trying to get a FINRA license, so knowing their rules is kind of a must-do. You gotta know their procedural rules, so read carefully.” He wrote on the chalkboard (still cribbing from Shmoop):

Filing of Misleading Information as to Membership or Registration


The filing with the Association of information with respect to membership or registration as a Registered Representative which is incomplet...

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