Examples of Registered Representative in a sentence
If you have any questions regarding the enclosed documents, please contact the Registered Representative who services your account.
If you require help, please contact the Registered Representative who services your account.
The participation of each Registered Representative and Registered Principal, either individually or collectively, no less than annually, in an interview or meeting conducted by persons designated by the Member at which compliance matters relevant to the activities of the representative(s) and principal(s) are discussed.
A Member must be especially diligent in establishing procedures and conducting reasonable reviews with respect to a non-branch location where a Registered Representative engages in securities activities.
No Member or Registered Representative shall exercise any discretionary power in a customer's account unless such customer has given prior written authorization to a stated individual or individuals and the account has been accepted by the Member, as evidenced in writing by the Member or the partner, officer, or manager duly designated by the Member, in accordance with LTSE Rule 5.110.