Exclusions 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 [...]

12 02, 2021

Investment Advisor Representative Registration
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Investment Advisor Representative Registration
FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC Registration, State Registration

Investment Advisor Representative Registration

By admin|2021-02-12T10:44:46-05:00February 12, 2021|FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC Registration, State Registration|

Individuals looking to be in the business of giving investment [...]