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People also ask
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What disqualifies you from getting a Series 7 license?
Disqualification of a Series 7 License You are convicted of certain misdemeanors and any felony within a period of ten years from the date of conviction. A court of competent jurisdiction issued against you a temporary or permanent injunction involving a broad range of unlawful investment activities.
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What disqualifies you on a U4?
Felony convictions automatically disqualify individuals from obtaining or maintaining a FINRA license. Certain misdemeanor convictions involving fraudulent activities or offenses related to securities, investments, insurance, or commodities laws can also result in disqualifications.
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What crimes disqualify you from FINRA?
Any misdemeanor convictions involving securities, investment, insurance, or commodities laws will result in a disqualification under FINRA. Members can also be suspended for any misdemeanor offense involving fraudulent pretenses such as false report, bribery, perjury, theft, or forgery. Learn more.
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What is form MC 400?
If you wish to hire or re-employ a registered representative who has been subject to Statutory Disqualification by FINRA, your organization must submit a Membership Continuance Application (MC-400) on the representative's behalf that FINRA must first review and approve before the representative can join the firm.
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What is an MC 400 application?
If you wish to hire or re-employ a registered representative who has been subject to Statutory Disqualification by FINRA, your organization must submit a Membership Continuance Application (MC-400) on the representative's behalf that FINRA must first review and approve before the representative can join the firm.
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How to fill out a MC 040 form?
0:07 2:09 Yourself it is important to always have an updated. Address on hand with the court. The court willMoreYourself it is important to always have an updated. Address on hand with the court. The court will sometimes send out notices on their own volition. And it's important that you receive those notices.
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