u/Prestigious-Tax-837

Opening account with different BD

For the rule about needing permission to open a brokerage account with a different firm, is that triggered when someone accepts the job offer or on their official start date? When does someone become an associated person?

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u/Prestigious-Tax-837 — 22 hours ago

7 or 79 after SIE?

I just passed the SIE, and I need to take series 7 and 79 before starting work. Which one should I take next? … thinking of saving the hardest exam for the last may be an ok strategy.. pls help

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u/Prestigious-Tax-837 — 6 days ago