Applicability of NASD policies to your member's usage of a translator for team retirement approach enrollment presentations.
Outside directors of broker/sellers need to register as principals if they want to participate in the working day-to-working day conduct of members' securities firms plus the implementation of company insurance policies connected to these kinds of enterprises.
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Registration specifications of the member if a registered principal begins consulting partnership With all the member as being a compliance officer.
Union members have taken action for months and there have already been three countrywide walkouts. Beforehand, PCS standard secretary Mark Serwotka said: "Ministers must resolve the dispute by putting funds to the table."
Registration demands of the member for individuals accountable for actively supervising the employees of member broker/dealer (underneath former Plan C, Portion II, now the Rule 1020 Collection).
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