17 Dec 2024 7:04 am
*Beekeeper » 17 Dec 2024, 7:54 am » wrote: ↑ Oh, and just to TRY and satisfy you ENDLESS ****........
The Series 24 is an exam and license entitling the holder to supervise and manage branch activities at a broker-dealer. It is also known as the General Securities Principal Qualification Examination and was designed to test the knowledge and competency of candidates aiming to become entry-level securities principals.
NO WHERE does that give you ANY authority over COMMERICAL BANKING ACTIVITIES!!
Sucks, huh that I actually know.
This is EXACTLY why you aren't worth reading.NO WHERE does that give you ANY authority over COMMERICAL BANKING ACTIVITIES!!
The USA Patriot Act of 2001 requires broker-dealers to comply with a number of anti-money laundering (AML) and customer identification (CIP) requirements, including:
Suspicious activity reporting
Broker-dealers must monitor transactions and file reports of suspicious activity