Published: by bluesun |
permalink Before you read on, note that the Financial Industry Regulatory Authority (FINRA), (previously the National Association of Securities Dealers (NASD), requires prospective members to strictly follow a lengthy application process. This includes providing the association with an extensive amount of information within a certain period of time, as well as attending an interview.
Tags: member,nasd,rule 1010,rule 1014,finra,laws & regulation,financial industry regulatory authority