Agent Registration Archives - Master Compliance

30 04, 2021

Exclusions from Registration as an Agent
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Exclusions from Registration as an Agent
Broker-Dealer, FINRA, Registrations, Rules and Regulations

Exclusions from Registration as an Agent

By admin|2021-04-30T11:10:03-04:00April 30, 2021|Broker-Dealer, FINRA, Registrations, Rules and Regulations|

Agents are individuals in a sales capacity who represent broker-dealers [...]

14 04, 2021

Registering as an Agent for a Broker-Dealer
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Registering as an Agent for a Broker-Dealer
Broker-Dealer, FINRA, NASAA, Registrations, Rules and Regulations, Rules and Regulations

Registering as an Agent for a Broker-Dealer

By admin|2021-04-14T09:42:41-04:00April 14, 2021|Broker-Dealer, FINRA, NASAA, Registrations, Rules and Regulations, Rules and Regulations|

The USA defines an agent as any individual who represents [...]