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I am joining a FINRA member firm as a consultant to hold public seminars promoting its products and services. Should I register since this firm does not technically employ me?

April 26, 2017consultant FINRA firm hold joining products promoting public seminars

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I am joining a FINRA member firm as a consultant to hold public seminars promoting its products and services. Should I register since this firm does not technically employ me?

1 Answer

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The activity you describe requires registration as a representative or principal. Your employment status does not affect your involvement in the member’s investment banking or securities business.