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Securities registration

• Is the compliance procedure whereby an individual is registered according to function, supervisory level, and type of customer contact. Also, firms must be registered with the appropriate regulatory bodies. See Account Executive and Series 7. Securities Registration also refers to the process whereby the corporation or its representative applies to the appropriate Federal or State Agency to have the securities registered. This registration is not a sign of approval by the Agency but rather a notification by the corporation to the agency of its intent to sell securities.

 
 

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