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Can I solicit customer accounts once my firm submits the Form U-4 and fees for me to FINRA, but before my registration becomes effective?

April 26, 2017accounts customer fees FINRA firm form registration solicit submits u-4

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Can I solicit customer accounts once my firm submits the Form U-4 and fees for me to FINRA, but before my registration becomes effective?

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No. You may not perform registered representative functions until your registration becomes effective with all regulatory organizations and state securities commissions. You may work in other areas at the securities firm if the tasks do not require registration.