In terms of being a broker dealer agent, what is the "Gap Rule?"

Published 08/12/2009 12:22 PM   |    Updated 08/12/2009 12:22 PM
In terms of being a broker dealer agent, what is the "Gap Rule?"

* an agent must not have a gap of more than two years of non-registration within the jurisdiction

* if the gap is more than two years, the exams must be repeated

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