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četvrtak, 05.11.2009.

i-think by Imhoff Consulting Project: Useful Information on a ...

i-think by Imhoff Consulting Project: Useful Information on a ...

To check out a broker, its representatives, and the firm they work for you can go to the Central Registration Depository (CRD). CRD is a computerized database that contains information about most brokers. ... You can ask either your state securities regulator or the National Association of Securities Dealers, Inc. (NASD) to provide you with information from the CRD. You can find out how to get in touch with your state securities regulator through the North American ...


A statement as to the availability to the customer of an investor brochure that includes information describing FINRA Broker Check. ...Harder than it sounds. Here&s what I recommend: You may find information about Broker Check online by ... Here&s what FINRA says about the due date: Any firm subject to NASD Rule 2280 that complies with its annual (calendar year) mailing requirement on or after January 1, 2009 but prior to the August 17, 2009 effective date of FINRA Rule ...


A statement as to the availability to the customer of an investor brochure that includes information describing FINRA Broker Check. ...Harder than it sounds. Here&s what I recommend: You may find information about Broker Check online by ... Here&s what FINRA says about the due date: Any firm subject to NASD Rule 2280 that complies with its annual (calendar year) mailing requirement on or after January 1, 2009 but prior to the August 17, 2009 effective date of FINRA Rule ...


To check out a broker, its representatives, and the firm they work for you can go to the Central Registration Depository (CRD). CRD is a computerized database that contains information about most brokers. ... You can ask either your state securities regulator or the National Association of Securities Dealers, Inc. (NASD) to provide you with information from the CRD. You can find out how to get in touch with your state securities regulator through the North American ...


A statement as to the availability to the customer of an investor brochure that includes information describing FINRA Broker Check. ...Harder than it sounds. Here&s what I recommend: You may find information about Broker Check online by ... Here&s what FINRA says about the due date: Any firm subject to NASD Rule 2280 that complies with its annual (calendar year) mailing requirement on or after January 1, 2009 but prior to the August 17, 2009 effective date of FINRA Rule ...


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05.11.2009. u 03:58 • 0 KomentaraPrint#

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