
Inz1279 2021-2025 Form


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People also ask 2019 inz
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What is an associated person in FINRA?
The term "Associated Person" means: (1) a natural person registered under FINRA rules; or (2) a sole proprietor, or any partner, officer, director, branch manager of the Applicant, or any person occupying a similar status or performing similar functions; (3) any company, government or political subdivision or agency or ...
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What is section 1017?
26 U.S. Code § 1017 - Discharge of indebtedness | U.S. Code | US Law | LII / Legal Information Institute.
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What is a FINRA control person?
A control person is an entity or individual who has the power to influence, direct, or control the activities of a publicly traded company. Control persons can be directors, officers, shareholders, affiliates, or any other person with authority over the public company's management and operations.
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What is a 1017 filing?
Application for Approval of Change in Ownership, Control, or Business Operations.
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What is the FINRA rule 1017 A7?
Under Rule 1017(a)(7), a member must submit a letter requesting a materiality consultation whenever a natural person seeking to become an owner,1 control person,2 principal or registered person of the member firm has, in the prior five years, one or more defined "final criminal matters" or two or more "specified risk ...
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Who needs to be registered with FINRA?
Each person engaged in the investment banking or securities business of a member shall be registered with FINRA as a representative or principal in each category of registration appropriate to his or her functions and responsibilities as specified in Rule 1220, unless exempt from registration pursuant to Rule 1230.
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