Regulatory Notice 07-41

Member Firms are Reminded to Register with FINRA Associated Persons Who Also are Registered with Another SRO in a FINRA-Recognized Registration Category

Executive Summary

FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member must register such person in that category with FINRA.

 

Questions concerning this Notice may be directed to Gary L. Goldsholle, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8104, Philip A. Shaikun, Associate Vice President and Associate General Counsel, OGC, at (202) 728-8451, or Richard E. Pullano, Associate Vice President and Chief at (240) 386-4821.