Collection seven registered Associates are usually not required to sign up underneath Series 55 as fairness traders dependent entirely on The truth that they complete the clerical function of entering consumer phone orders in to the exact same routing procedure that shoppers could use to enter orders electronically.

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Joint NASD and NYSE interpretation that men and women involved with the event of specified quantitative fairness exploration rankings model are not “research analysts” as described by the SRO investigate analyst conflict of interest regulations.