Saturday, February 10, 2007

NASD Fines BDs for Parking Registrations

$3.75 million for improperly maintaining NASD registrations for 1,100 individuals, failing to assign registered supervisors to 1,000 individuals, failing to retain the email of 1,900 registered individuals, and other electronic recordkeeping failures.

You can't register individuals if they are not working for you. Period.
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