At least, they can the health care and environmental arenas. Under the responsible corporate officer (RCO) doctrine, the ability to control corporate conduct is sufficient to hold officers criminally liable
Form U5
You Have To Complete A U-5, But What Should You Say
By Joshua Horn on
Within thirty days after a registered representative leaves a member-firm, the member-firm must file a U-5 with FINRA stating the reasons for the departure. Those instances where the registered representative…
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