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Getting Out

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Nov 14, 2011 8:53 pm

dharrison

Joined: 2011-11-14Offline

I need to temporarily get out of the business (1-2 years max), and I need to know the timeframe I can hold a Series 7 and not be affiliated with a Broker Dealer.  Anyone know the answer?  It used to be 2 years, but it may be shorter now.  Thanks!

Nov 14, 2011 9:32 pm

Aguilartx

Joined: 2011-07-22Offline

24 months after your resignation. Just had that answered by compliance here.

Nov 15, 2011 2:42 pm

Stig

Joined: 2010-12-17Offline

Aguilartx is correct. Technically, it can take a bit of time after resignation for your U5 to process. The actual date may fall a couple of weeks after resignation as did mine.

Nov 20, 2011 3:12 pm

qwe123

Joined: 2011-11-20Offline

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