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[DOCX File]Firm Policy
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rom the definition of “legal entity customer,” describe how your firm will confirm and document that the entities are exempt. or excluded. Identification . and Verification . of Beneficial Owners. TEXT EXAMPLE. At the time of opening an account for a legal entity customer, [N. ame of person or category of associated person
sec definition of associated person

69W-600
(1) New Applications. (a) Applicants for registration as an associated person of investment advisers and federal covered advisers shall file the Uniform Application for Securities Industry Registration or Transfer (Form U-4) electronically through the Central Registration Depository (CRD) of the Financial Industry Regulatory Authority (FINRA) as prescribed by the Financial Services Commission ...
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[DOC File]NOTICE FOR REQUEST FOR COMMENT ON AMENDMENTS …
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To monitor such amendments, including those reporting terminations for cause, FINRA will notify other regulators and the broker-dealer with which the registered person is currently associated (if the person is associated with another firm) when a date of termination or reason for termination has been amended.
finra member definition

69W-600
Application for Registration as Associated Person (FINRA Dealer). (1) New Applications. (a) Applicants for initial registration as a principal or associated person of dealers who are members of the Financial Industry Regulatory Authority (FINRA) shall file the Uniform Application for Securities Industry Registration or Transfer (Form U-4) electronically through the Central Registration ...
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[DOCX File]Investment Fraud & Broker Misconduct Lawyers | Peiffer Wolf
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A member's or associated person's reasonable diligence must provide the member or associated person with an understanding of the potential risks and rewards associated with the recommended security or strategy. The lack of such an understanding when recommending a security or strategy violates the suitability rule.
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[DOC File]FINRA Investor Education Foundation
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While many people use the word broker generically to describe someone who handles stock transactions, the legal definition is somewhat different—and worth knowing. A broker-dealer is a person or company that is in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of ...
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[DOC File].1
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Prior to opening an account, [Name of person or category of associated person] will collect the following information for all accounts, if applicable, for any person, entity or organization that is opening a new account and whose name is on the account: (1) the name; (2) date of birth (for an individual);
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[DOC File]Sample Fiduciary Acknowledgment Letter
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I understand the fiduciary duties and responsibilities associated with my appointment. Sincerely, (Fiduciary) Title: Sample Fiduciary Acknowledgment Letter Author: Ashu Jaiswal Last modified by: Ashu Jaiswal Created Date: 7/15/2004 2:22:00 PM Company: University of Minnesota
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[DOCX File]FINRA Regulatory Notices, Approved Rule Filings and ...
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FINRA is requesting comment on proposed rules that would (i) require firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account and (ii) permit qualified persons of firms to place temporary holds on disbursements of funds or securities from the accounts of specified ...
sec definition of associated person

[DOCX File]Disclosure Letter for Existing Municipal Advisor Agreement
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, when MSRB Rule G-42 becomes effective. It may be used for either a municipal entity client or non-municipal entity client, for either an issuer or an obligated person, and/or for engagements relating to new issues, municipal financial products, or both.
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Definition of associated person finra