During that time, he also worked as a Registered Representative for retail investment management firm Josephthal & Co ., where he developed an impressive book of business.
32.
For example, Registered Representative, a stockbroker trade magazine in Irvine, Calif ., focuses its October 1995 issue on exploding the myths of " Sex and Investing ."
33.
Meantime, " NASD Regulation will closely monitor the firm and its registered representatives to ensure that the expulsion order is followed, " said NASD spokesman Michael Robinson.
34.
Today, " they're hiring record numbers of people, " said Dan Jamieson, editor of Registered Representative in Irvine, Calif ., a magazine for brokers dealing with individual investors.
35.
Registered representatives who sell variable products such as variable annuities or variable universal life insurance policies typically also must obtain the appropriate state insurance department license ( s ).
36.
Though Frontier has more than 100 selling agreements with firms in 15 states, Fay said, about 90 percent of its business comes through his brokerage and its three registered representatives.
37.
Arlett was a registered representative at a brokerage from 1993 until April 1995, when she was fired amid allegations she made unauthorized withdrawals and transfers from the accounts of relatives.
38.
Charles Schwab is even more basic with its titles, simply calling brokers " registered representatives, " which is the regulatory label for the people who pass the Series 7 brokers'test.
39.
The annual fee that each member pays includes a basic membership fee, an assessment based on gross income, a fee for each principal and registered representative, and charge for each branch office.
40.
On January 16, 2009, the Securities and Exchange Commission ( SEC ) issued Rule 151A claiming indexed annuities should be regulated as securities and should only be sold by registered representatives.
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