Brokers With a Significant History of Misconduct

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!

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About This Course

This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history.

After attending this session, you will be able to:

  • Understand changes to rule 9200 and 9556
  • Discuss heightened supervisory procedures for statutory disqualified associated persons
  • Review written request requirement process through the Membership Application Group (MAP)

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Online, Audio CD, DVD, iOS/Android App, USB Stick, Live Webinars

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