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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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  1. Rules & Guidance
  2. Notices
  3. Regulatory Notice 22-08
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Samuel Safyan Comment On Regulatory Notice 22-08
SAMUEL SAFYAN
N/A

Hi, I don't feel like I should be going through these steps. Especially if I outsource my trades to an advisor.

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