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Executive Bylaws - CMA

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Executive Bylaws

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  • February 17
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3-2-4 Of Module Five: Securities Activities and Registered Persons
Section: Chapter Three: Registered Persons
  • Sunday, 05 February 2017

    A senior investment advisor of a Licensed Person who is licensed to carry on only the activity of Investment Advisor or Valuation of Assets, and to carry on any other type of Securities Activities, should be treated as Registered Positions and Employment Positions.

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