After two years, an individual with a Series 6 license must complete a certain number of continuing education (CE) credits depending on the state where the individual is licensed. The CE regulatory element must be completed by Dec. 31 each year or registration is considered inactive. Individuals...
Think of the federal tax ID number as the social security number (SSN) for the business. It is used to open U.S. bank accounts, hire U.S. employees and operate lawful business activities in the U.S. How do I locate my Delaware file number? The Delaware file number can be located ...
“About Self-regulatory Organizations” and other relevant acts. As per the law project, Forex dealer must pay monthly contribution as well as deposit to SRO's compensation fund. According to experts, such measures can significantly cut the number of companies operating on that market, and ...
17,18 As a result, TARE is driven by the amount and distribution of radioactivity administered and not necessarily the number of microspheres. General recommendations with respect to clinical activity and dose plans have been established by the Radioembolization Brachytherapy Oncology Consortium.19 The ...
providingreasonableassurancethatthefirmismeetingthestandardsofthe applicableSRO. Theroleofthecomplianceofficervariesbyjurisdictionandalsodependsuponthe businessandstructureoftheparticularfirm.Inalljurisdictions,regulatorshavepermitted eachfirmtochooseacompliancesystemthataddressesitsparticularneeds.Ingeneral, compliance...