While new NASD Rule 1032(i)is currently recognized by FINRA, a number of states have not yet amended statutes and rules which incorporate the new Series 79 limited registration into their regulatory framework. As a result, the impact for FINRA member firms engaged in investment banking activities is that new registrants and employees relying solely on the Series 79 qualifying exam for registration may face a delay in their actual registration effective date in some states.
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