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What is DWAS expelled from?

Who is the RR assigned to?

When does continuing education begin?

Can a CHE be hired?

Is a no action required by the registered person until a verdict has been reached?

Can a BFINRA discipline a person who disclosed information?

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What is DWAS expelled from?

DWas expelled from a foreign securities exchange

Who is the RR assigned to?

Each registered representative (RR) must be assigned to a specific supervisor or principal who has passed the appropriate regulatory examination. If a representative becomes aware of a potential violation, the best course of action is for him to contact his designated supervisor.

When does continuing education begin?

The Continuing Education Regulatory Element for registered personnel begins on the second anniversary of her initial registration, and then is triggered every three years thereafter. If representatives do not participate, their registration becomes inactive. There is no graduation from the Regulatory Element.

Can a CHE be hired?

CHe may be hired to provide investment advice to customers, but will not be permitted to receive compensation based on these transactions

Is a no action required by the registered person until a verdict has been reached?

ANo action is required by the registered person until a verdict has been reached.

Can a BFINRA discipline a person who disclosed information?

BFINRA may discipline the person who received the information, but the person who disclosed the information isn't subject to disciplinary action. CFINRA may discipline both individuals. DNeither person is subject to disciplinary action since this activity is permitted as long as the test items are not written down.

What is DWAS expelled from?

DWas expelled from a foreign securities exchange

Who is the RR assigned to?

Each registered representative (RR) must be assigned to a specific supervisor or principal who has passed the appropriate regulatory examination. If a representative becomes aware of a potential violation, the best course of action is for him to contact his designated supervisor.

When does continuing education begin?

The Continuing Education Regulatory Element for registered personnel begins on the second anniversary of her initial registration, and then is triggered every three years thereafter. If representatives do not participate, their registration becomes inactive. There is no graduation from the Regulatory Element.

Can a CHE be hired?

CHe may be hired to provide investment advice to customers, but will not be permitted to receive compensation based on these transactions

Is a no action required by the registered person until a verdict has been reached?

ANo action is required by the registered person until a verdict has been reached.

Can a BFINRA discipline a person who disclosed information?

BFINRA may discipline the person who received the information, but the person who disclosed the information isn't subject to disciplinary action. CFINRA may discipline both individuals. DNeither person is subject to disciplinary action since this activity is permitted as long as the test items are not written down.