Needless to say, from a career survival perspective, a registered person should always obtain written approval from the employer brokerage firm.
FORBES: Former Chase Broker Initials And Signs His Way Out Of A Job
Additionally, an away account in the name of a registered person or one in which that individual has a beneficial interest is a frequent focus of regulatory concern.
It will be interesting to see whether FINRA subsequently brings a regulatory action against its member firm IPI for defaming a registered person on Forms U4 and U5.
FORBES: FINRA Arbitration Claimant Stipulates to Defaming Former Employee
This seems like the perfect outcome for a registered person wrongly named in and complaint and who became the inadvertent victim of seemingly benign settlement in which she played no role and contributed no money.
FORBES: Broker Wins Expungement of Sleeping Dog Customer Complaint
If you are a registered person, note that even in a situation where you are honestly unaware of any red flags concerning an outside investment, FINRA may still tag you with a fine and a hefty suspension.
FORBES: FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
While FINRA conceded that Whittington did not know at the time of his solicitations that Oxford was engaged in a Ponzi scheme, that hardly informs us as to why the registered person was in such a state of ignorance.
FORBES: FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
For People View, once a person's likeness has been registered with the software, Image Assorting Technology and Face Recognition technology is utilized to automatically upload a specific person's image to their respective folder for easy access.
ENGADGET: Canon expands its PIXMA line with MG2220, MG3220 and MG4220 all-in-ones
"The trust is not aware of any recent offence having been committed or of any offence having been committed whilst on trust premises by the registered person, " a spokeswoman said.
Sometimes I have to recommend that the registered person consult with a legal malpractice lawyer because it is apparent that they were inadequately counseled about this nasty wrinkle and in some cases it turns out that the lawyer was unfamiliar with this statutory disqualification issue.
FORBES: FINRA Says Stockbroker Willfully Failed To Disclose Bankruptcy
Ms. Feinstein's new proposal also calls for gun registration, and the reasoning is straightforward: If a gun has been left at a crime scene and it was registered to the person who committed the crime, the registry will link the crime gun back to the criminal.
As such, the Respondents may have taken the position that Medical Capital perpetrated a fraud on the market as a whole, and that the brokerage firm and its registered person were similarly duped by the falsehoods and misrepresentations.
FORBES: Public Customer Wins Medical Capital Notes Arbitration
"If a 15-year-old 'sexted' a picture of him or herself, it is safe to say that prosecutors would take appropriate steps to ensure that person isn't required to become a registered sex offender for life, " Mr Burns told the Associated Press news agency.
They can lease registered property, or share a house with a fully qualified person.
No registered person should ever initial or sign on behalf of a customer without first securing prior written authorization from both the employer firm and the customer.
FORBES: Former Chase Broker Initials And Signs His Way Out Of A Job
Krell Davis estimated that nearly a quarter of the state's 10 million registered voters would vote either in person early or by absentee ballot.
CNN: Early voting reaching record numbers, election officials say
The issue affected the approximately 117, 600 customers who had registered the iPhone app with Citi since its launch in March 2009, a person familiar with the matter said.
Again according to the draft, a person would be considered the owner of real estate if his ownership was registered with the government, or of movable property if he was in possession of it.
Heitkotter beat out over 53, 000 competitors who registered for GT Academy and is now a Nissan-sponsored professional race car driver and part of a four-person team that will race the 24-hour race in Dubai in January 2012.
FORBES: Sony Racing Simulation Gran Turismo Blurs Line Between Virtual And Reality
应用推荐